Ending the Year Strong: A Compliance and Governance Roadmap for 2027

As the year draws to a close, now is the time to evaluate your firm's compliance program, assess governance practices, and prepare for evolving regulatory expectations in 2027. 

Join Bob Frize, Senior Consultant, Compliance Services at Confluence Technologies, along with special guest speakers Deb Tobin, Chief Compliance Officer at Easterly, and Jennifer Szaro, CFE, CRCP^®, Chief Compliance Officer at XML Financial Group, for a practical discussion designed for registered investment advisers and broker-dealers. This session will explore effective governance frameworks, engagement with senior management, risk assessment practices, and year-end compliance priorities.

This webinar covers: 

• Governance and strategic planning best practices 
• Risk analysis and oversight considerations 
• Year-end compliance activities, including regulatory filings, training, and office reviews 
• Lessons learned from 2026 and ways to improve efficiency and resource allocation 
• Key SEC and regulatory priorities to consider as you plan for 2027 
• Policy and procedure updates and risk evaluation considerations 

Your speakers

Moderator	Panelist	Panelist
Bob Frize Senior Consultant Confluence	Jennifer Szaro Chief Compliance Officer XML Financial Group	Deb Tobin Chief Compliance Officer Easterly Asset Management

Don't miss this opportunity to benchmark your program, identify areas for improvement, and position your firm for a successful year ahead. 

Register today to reserve your spot.