Are your compliance reviews keeping up with change—and standing up to scrutiny?

Join us on Tuesday, September 30, 2025, from 1:00–2:00 PM ET for a hands-on webinar exploring how even seasoned in-house compliance professionals can stay objective and current amidst the rapidly shifting regulatory landscape. Whether you oversee SEC or FINRA member firm compliance, this session will cover the fundamentals and navigate the nuanced requirements of Annual Compliance Reviews (Rules 206(4)-7 and 3120).

It's more than just a regulatory requirement. It's an opportunity to re-evaluate, reset, and revitalize the compliance program—aligning with evolving rules and business practices while supporting the firm's ongoing resilience.

We'll explore practical strategies and advanced considerations, including:

✅️ Effectiveness vs. Administration: Assess your program's implementation beyond everyday administration.

✅️ Objectivity Bias: Explore why in-house reviews can risk "blind spots"—and where third parties provide unique perspective.

✅️ Tough Conversations: Find the balance between asking difficult questions and maintaining productive business relationships.

✅️ Diverse Perspectives: See how varied internal and external viewpoints can reveal opportunities for improvement.

✅️ Remediation Roadmaps: Gain practical approaches for addressing deficiencies and exceptions uncovered in your annual review.

✅️ Self-Reporting Insights: Learn considerations for self-reporting major issues in addition to remediation steps.

Why Attend?

This webinar looks beyond the bare requirements set forth in the compliance program rule. It explores ways to strengthen processes, reduce vulnerabilities, and support the long-term health of your compliance program—while safeguarding your firm's most valuable asset: its reputation.

Designed for compliance officers, risk managers, and in-house regulatory teams at SEC and FINRA member firms, the session will provide practical ideas and fresh perspectives you can apply to your own annual compliance review processes—whether you're approaching your first compliance review or seeking to refine an established program.