7 Reasons to Attend Our Scottsdale Fall 2019 Compliance Conference

If you’ve been considering joining us in Scottsdale for our Sept. 23-25 compliance event, here are seven reasons you should take the plunge now!

  1. The Best Mix of Informational & Educational Speakers  We just added OCIE’s Co-National Associate Director of Investment Adviser/Investment Company Examination Program Marshall Gandy to our stellar list of presenters. He joins ex-NFL star Merril Hoge, CFTC Senior Economist George Pullen, Mayer Brown Partner Stephanie Monaco, AIG Life & Retirement CCO Mark Happe, University of Virginia Darden School of Business Professor Mary Darden and more!
  2. An Exciting Balance of Learning, Fun & Charity  Sessions are informational yet collaborative, and we make sure to sprinkle in valuable networking breaks and delicious meals. New for this year, take part in charitable events to benefit local causes, including a free round of golf at the top-rated Gainey Ranch Golf Club!
  3. A Deep Focus on the Latest  Worried about recent SEC Risk Alerts or the adoption of new rules like Regulation Best Interest, and how they’ll affect your firm? We’ll deep-dive into those key topics and many more.
  4. Forge Valuable Connections with Peers – Our attendees continually cite the ability to share ideas with colleagues in a relaxed setting and the creation of long-lasting relationships as key benefits of their conference experience.
  5. Discover Innovative Products, Services & Solutions – Our exhibitors and CSS team members are happy to address questions that are specific to you firm’s needs, one-on-one.
  6. We’ve Extended our Pricing Discount!  Use code azearlybird for $600 off.
  7. The Hotel Group Rate Cutoff Is Nearing! – Hotel rates rise after August 21; make reservations before it’s too late.

At CSS, we’re always looking for ways to make sure that your conference experience goes far past sitting in a classroom. Join us using our discount code and experience all we have to offer! Still not sure? Visit the following links for additional information:

Agenda | Speakers | Travel & Accommodations | Registration


Subscribe to CSS Blog

CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

Loading form...

Latest Content

Form CRS and Its Impact on State-Registered Advisers

While many investment advisers are starting to plan for Form CRS/Form ADV Part 3, one group of investment advisers can breathe a sigh of relief that this is a project that does not need to be on their ‘To Do’ list. As of now, no state regulator has adopted this disclosure document for state-registered advisers. … Continued

Effective Compliance Policies & Procedures and Annual Reviews: Meeting the Reasonably Designed Standards

Investment Advisers must perform an annual evaluation of the effectiveness of their compliance program. This starts with ensuring, maintaining and implementing reasonably designed policies and procedures. This ComplianceCast webinar covers the recent regulatory changes that may trigger a need to reevaluate your present policies. Who Conducts and How to Conduct the Annual Review Planning and … Continued

Refocusing on Position Limit Monitoring & Substantial Shareholding

In recent months, we have begun to offer roundtable events focusing on important, evolving topics within the compliance world. These breakfast briefings are designed to be collaborative exchanges, and our recent two-part series addressed challenges posed by position limits and substantial shareholding. A select and diverse group of investment managers were invited to each session, … Continued