Join Comply’s regulatory experts for a practical, high-impact session designed for Chief Compliance Officers and senior compliance leaders. We’ll explore how to turn your AUA process into a strategic compliance checkpoint — one that tests not just your disclosures, but your entire program’s alignment with fiduciary duty, operational reality, and exam expectations.
We’ll cover:
- What “deregulation” actually means for your Form ADV and exam risk
- Where examiners are finding inconsistencies and how to preempt scrutiny
- Why fiduciary duty is still the standard — and how your AUA proves it
- Common pitfalls: fees, conflicts, marketing, and broken ties between Form ADV, Form CRS, and firm practices
- How to align your AUA with a risk-based, principles-driven compliance framework