Drive new levels of efficiency and increase compliance effectiveness while demonstrating a “culture of compliance” to regulatory examiners. Learn More.
Xchange transforms Licensing & Registration operations to support core business objectives: lowered costs, reduced risk and increased producer satisfaction. Learn More.
RegEd has been named the SILA Organization of the Year. The award was announced at the 2017 SILA National Education Conference in Orlando, FL on September 26, 2017…. Read more.
The most comprehensive educational offering within the securities compliance industry, and the only conference that is “For Compliance, By Compliance.” The workshops, labs and roundtable discussions are all led by experienced industry veterans who focus on the practical implementation of compliance policies and procedures. Learn more.
FSI’s OneVoice conference is the annual in-person gathering for broker-dealer home office executives. Education and networking sessions are specifically designed for CEOs, senior executives, managers and employees of member and prospective member firms. Learn more.