ComplyConnect 2026

November 8-11, 2026 · Nashville, TN

ComplyConnect is COMPLY's annual conference for the compliance function in investment advisory and broker-dealer firms. It occupies a niche few events serve well: compliance officers get plenty of regulatory updates from law firms, but far less on the operational side of running a compliance program at scale.

Who attends

Chief compliance officers, compliance analysts and operations leaders at RIAs, broker-dealers and hedge funds, plus outsourced compliance consultants and the regulatory technology vendors serving them.

What's on the agenda

• SEC examination priorities and enforcement trends

• Marketing rule, custody and books-and-records obligations

• Electronic communications capture and off-channel messaging

• Compliance technology, surveillance and automation

• Building and staffing a compliance program that scales

Why compliance is quietly a data problem

Nearly every compliance obligation reduces to producing evidence on demand: what a client held on a given date, which communications related to an account, who approved a trade and when. A firm whose data is scattered across systems can usually answer those questions — it just takes days rather than minutes, and an examination does not grant days. Firms that unified their data find the exam burden drops without changing any policy.

Milemarker is the data infrastructure layer for wealth management, unifying account, communication and transaction data across 130+ systems.

Talk to us about your firm's data layer