[Updated 2021] The Ultimate List of Compliance Conferences and Events | Ascent

Updated January 2021: As much of the world continues to remain in lockdown due to COVID-19, some organizations have released dates for in-person events in 2021, which may change depending on how the situation unfolds. Many events are confirmed to take place virtually. We will continue to update this page as information is released.

At Ascent, our team stays on top of the latest developments in regulatory compliance by attending and participating in important industry conferences throughout the year, where we both exhibit and help to shape thought leadership and content.

Below is our ultimate list of compliance conferences.

Know of a great event that’s missing? Drop us a line at marketing@ascentregtech.com and we’ll add it to the list!

 

General Compliance

FIRMA 2020 National Training Conference (New Orleans, May 15, 2021) | Audit, risk and compliance, and regulatory professionals gather to learn about the issues facing the industry and to discuss cross-functional risk management.

COMPLY 2020 (Virtual, Multiple Dates Feb 4, Mar 25, May 20 2021) | 400+ regulators, compliance and risk professionals, sales and marketing leaders, innovators, investors, and legal experts attend to share ideas at the intersection of compliance and technology. Billed as a combination of “information, entertainment, and fun.”

ACA Compliance Group’s Compliance and Performance Conference (TBD) | 300+ senior compliance, technology, finance, and operations professionals from financial services firms attend. Topics covered include regulatory compliance, cybersecurity, performance, technology, anti-money laundering programs, and more.

Compliance Week 2021 (Washington D.C., May 11-13, 2021) | 500+ compliance leaders from across various industries (not just finance) attend. Features interactive sessions discussing strategies and best practices for running a dynamic and effective ethics and compliance program. 

Fearless in FinTech West (San Francisco, July 2021) | A smaller, more intimate event that draws ~120 attendees to focus on issues of diversity and women in leadership in finance. The sessions offer attendees practical tools and insights into advancing inclusive leadership.

Society for Corporate Compliance & Ethics (SCCE) Annual Compliance & Ethics Institute (September 2021) | 1,400+ compliance and ethics professionals gather for this cross-industry education and networking event. Attendees explore real-world compliance issues, practical applications, emerging trends, and state-of-the-art techniques for managing corporate compliance and ethics programs.

National Society of Compliance Professionals (NSCP) National Conference (October 2021) | 800+ compliance professionals attend, featuring regulatory panels with speakers from SEC, FINRA, MSRB, NFA, and NASAA, continuing education courses, and more than 60 break-out sessions for specialized discussion and networking.

Global Financial Leadership Conference (TBD) | Global financial, economic, and geopolitical leaders gather for three days of discussion and innovation. Past keynote speakers include former Presidents George W. Bush and William J. Clinton, former U.K. Prime Minister David Cameron, Citadel Founder and CEO Kenneth C. Griffin, and former Fed Chair Janet Yellen, among other highly-distinguished guests and speakers.

Asset and Wealth Management

Investment Advisor Association (IAA) Compliance Conference (Virtual, March 3-5, 2021) | A comprehensive two-day program providing investment advisors with information about the changing regulatory landscape. Participants hear from a distinguished roster of speakers, including SEC staff, on a wide range of topics, including data privacy, cybersecurity, technology, and more.

Global WealthTech Summit (November 2021) | 600+ wealth management and innovation leaders gather to discuss the future of wealth management and private banking with a focus on overcoming regulatory challenges with innovative technologies and approaches.

Anti-Money Laundering/Anti-Corruption

ACES Compliance Summit (TBD) | 500+ senior compliance executives attend to discuss anti-bribery/anti-corruption and export controls/sanctions. Sessions aim to give attendees practical strategies and cutting-edge insight on building a domestic or international compliance program within their enterprise.

ACAMS 18th Annual AML & Financial Crime Conference (Virtual, Multiple Dates 2021) | 1,500+ anti-financial crime professionals, regulators, law enforcement investigators and government officials attend, with a principal focus on discussing new developments in financial crime, payment methods and money laundering schemes, and the ways to prevent them.

 

Bank-focused

American Bankers Association Regulatory Compliance Conference (San Diego, June 13-16, 2021)  | 2,000+ participants, including compliance officers and executives, legal counsel, auditors, regulatory officials, and bank senior managers attend. Sessions drill down on constructing bank compliance programs that can “evolve and adapt to current and future regulatory expectations.” A virtual event has been scheduled for July 28-30.

Bank Director Audit & Risk (Chicago, June 14-16, 2021) | 300+ bank executives and heads of innovation attend to discuss the governance, risk, compliance and accounting issues challenging financial institutions today.

 

Derivatives

FIA Boca-V 2021 – Annual International Futures Industry Conference (Virtual, March 16-18, 2021)  | 1,100+ senior-level executives from brokerage firms, asset management firms, international exchanges and regulatory bodies gather to discuss how macroeconomic, political, and social trends are affecting the cleared derivatives industry.

FIA L&C-V Conference (Virtual, October 7-9, 2021) | 900+ attendees, including legal, risk, and compliance professionals, meet to discuss and debate regulation of future, derivatives, and OTC products.

Securities

SFVegas 2020 – Structured Finance Association (TBD) | 7,000+ attendees gather for the “largest capital markets conference in the world,” which draws thought leaders and market participants from across the broad spectrum of the structured finance industry.

SIFMA C&L Annual Seminar (San Diego, October 13-15, 2021) | 2,000+ senior in-house and law firm attorneys who attend make up the “who’s who” of securities compliance. Billed as “the premier event for compliance and legal professionals working in the financial services industry.” 

FINRA Annual Conference (Virtual, May 18-20, 2021) | 1,400+ compliance professionals, attorneys and other leaders in the securities industry attend FINRA’s flagship annual event. Participants meet, network, and discuss today’s most timely compliance and regulatory topics, including current trends in technology, cybersecurity, and risk management.

RegTech & FinTech

Finovate (Various locations, year-round) | A series of global conferences highlighting the future of FinTech solutions through short-form demos of new products and discussions with industry thought-leaders.

ACCELERATERegTech (Virtual, March 17-18 & 24-25, 2021) | Hosted by The RegTech Association, this event gathers 1000+ RegTech industry stakeholders, including solutions providers, regulators, investors, and regulated entities to examine emerging regulatory challenges. This year brings a 24/7 virtual expo and focused sessions on 4 key themes: The Big Picture, Regulation Innovation, New Economy, and Innovation.

TechNova: AI in Financial Services (TBD) | 200+ attendees, ranging from CEOs and COOs to directors of innovation and data scientists, gather to discuss the current and future impact of artificial intelligence on financial services. 

FinTech & RegTech Global Supervisory Summit (TBD) | Billed as “a unique platform where the global community of the senior official sector representatives with an active interest in FinTech, RegTech and SupTech can come together and share views and experiences in a confidential environment.” Programs focus on the gamut of regulatory issues being tackled by the RegTech/FinTech/SupTech ecosystem.

US RegTech Forum (TBD) | 300+ of the most senior-level leaders in RegTech come together in New York to discuss the regulatory issues affecting financial institutions. Part of New York FinTech Week 2020, leading RegTech intelligence platform RegTech Analyst also has a major presence at this event.

LendIt FinTech USA (Virtual, April 27-29, 2021) | 5,000+ attendees gather to discuss the advances in FinTech across the range of applications, from AI to blockchain to digital banking and more.

Global RegTech Summit (TBD) | 1,000+ delegates from the world of financial compliance meet to discuss tech solutions addressing global financial regulations. Topics covered include AML and anti-corruption compliance, cybersecurity, and finding the right RegTech partner to help firms meet the demands of constant regulatory change. Leading RegTech intelligence platform RegTech Analyst also has a major presence at this event.

RegTech Summit (Virtual, May 2021) | This meeting “explores how the financial services industry can leverage technology to drive innovation, cut costs and support regulatory change,” bringing together vendors, compliance professionals, and regulators to discuss approaches to building a better regulatory environment.

Sibos (Singapore, October 11-14) | 8,000+ top-level decision makers and key topic experts from financial institutions, market infrastructures, multinational corporations, software vendors and FinTech partners gather to explore the impact of new technologies on infrastructures, value propositions, and business models and identify the culture, skills, and working practices that organizations need to maximize the potential of both human and machine capabilities.

RegTech Expo (TBD) | Professionals within the industry gather to engage, do business, and learn from technology companies involved in: regulatory reporting, risk management, identity management and control, compliance, transaction monitoring, AML, KYC, GDPR, and Data Governance.

FinTech & RegTech Global Summit (TBD) | Content-led practical sessions on FinTech, RegTech, and SupTech, cybersecurity, AML, financial inclusion, cryptocurrency, and other tech-related topics.

RegTECHTalents (TBD) | 200+ attendees gather at this global forum focused on creating a meaningful dialogue to improve the implementation of regulatory technologies. Founders, buyers, industry experts, innovators, and students discuss how to bring new regulatory technologies to life.

AI in Finance Summit (Virtual, April 15-16, 2021) | 600+ attendees gather to discuss the latest technology advancements in AI and show practical examples of how they can be applied to financial services. The events “unique mix of academia and industry” connects up AI pioneers with real-world business needs.

 

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