Events | 07-17-25
Live Program from InvestorCOM: Compliance as a Business Enabler
In today’s environment of regulatory uncertainty and shifting enforcement priorities, compliance is no longer a static function—it’s a strategic imperative. From shifting interpretations of Reg BI to changing enforcement priorities, compliance and supervision leaders are navigating increasing complexity. Forward-thinking firms are reframing compliance as a business enabler, using it to drive growth, enhance advisor oversight, and lead through change.
Join us for a live webinar on Wednesday, July 17 at 1:00 PM ET, presented by InvestorCOM, featuring expert insights from Bates Group Managing Director Armin Sarabi. This timely conversation will explore how modern compliance practices can transform oversight into opportunity and is designed for professionals leading compliance, supervision, or business strategy in the financial services industry.
Join Us To Explore:
- How leading firms are embedding compliance into their growth strategy
- The evolving role of compliance in a best interest and Reg BI world
- How technology is helping advisors and supervisors boost efficiency and reduce risk
- Real-world examples of compliance driving business outcomes
Who Should Attend
- Chief Compliance Officers
- Supervision Leaders
- Wealth Management Executives