Meeting/Event Information

Register Today! Code "FPAMEMBER" will grant FPA members access to tickets at the same rate as CFA Society members.

1.5 IARCE (Investment Adviser Representative Continuing Education) credits

Event Description: This 1.5-hour live program features a moderated discussion with representatives from the SEC, FINRA, and the Florida Office of Financial Regulation (OFR). Through open dialogue, regulators share perspectives on current examination findings, enforcement themes, and emerging risks that affect investment advisers and their clients. Discussion topics include amended Regulation S-P, artificial intelligence oversight, cybersecurity, digital-asset supervision, conflicts of interest, and protection of senior and vulnerable investors. The session also highlights areas where firms are demonstrating effective compliance practices and ways to enhance transparency, documentation, and investor education. Unlike a lecture-based course, the PowerPoint presentation serves only as a guide for conversation, allowing regulators to address timely developments and respond to participant questions. Attendees gain practical insight into what regulators expect in 2026 and how to apply these expectations to strengthen compliance programs, improve client communication, and foster a culture of proactive regulatory engagement. 

About the Event:  

This event counts for 1.5 SER credits. 

Prior to the event, we will have a cocktail/networking happy hour at the venue with appetizers.

We look forward to seeing you there!

Code "FPAMEMBER" will grant FPA members access to tickets at the same rate as CFA Society members.

Register Today!