Events | 07-07-25
Live Program from InvestorCOM: Compliance as a Business Enabler
Compliance as a Business Enabler: Transforming Oversight into Opportunity
In today’s environment of regulatory uncertainty and shifting enforcement priorities, compliance is no longer a static function—it’s a strategic imperative. From evolving interpretations of Reg BI to the broader impact of political transitions, compliance and supervision leaders are navigating a constantly moving target. 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 wealth 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