4th Annual
BD CCO Roundtable
We are excited to announce that Apex will be hosting the 4th Annual BD CCO Roundtable from October 21st to October 23rd at our office located in the historic Chicago Board of Trade building.
Building on the success of last year’s roundtable, this year’s event will once again bring together broker-dealer Chief Compliance Officers and compliance leaders for two days of engaging discussions, peer collaboration, and in-depth exploration of industry trends, challenges, and solutions.
This roundtable provides an exclusive opportunity to join your peers and esteemed outside guests in a dynamic, solutions-oriented discussion around today’s most pressing regulatory and compliance topics. Together, we’ll explore strategies to scale programs effectively while staying ahead of regulatory priorities.
Event Details:
Dates: Tues., October 21, 2025 – Thur., October 23, 2025
Location: Apex Office, Chicago Board of Trade, 141 W. Jackson Blvd. 2nd Floor, Chicago, IL 60604
Tuesday, October 21st
Welcome Outing 5:30 pm | Join us to kick off the CCO Roundtable with a welcome reception aboard the Chicago Fireboat Tours boat. Experience stunning skyline views along the Chicago River while networking with fellow professionals over Chicago style deep-dish pizza and drinks. |
Wednesday, October 22nd
8:30 am | Breakfast & Networking |
9:00 am | Opening Remarks |
9:30 am | Apex Updates & Resource |
10:45 am | Break |
11:00 am | Fraud and Financial Crimes |
12:00 pm | Lunch |
1:00 pm | FINRA Perspectives Jamie Udison, Senior Director, Crypto Asset Investigations, FINRA Andrew McElduff, Vice President, Risk Monitoring, FINRA |
2:30 pm | Break |
2:45 pm | Digital Assets, Tokenization of Securities |
3:45 pm | Enforcement Topics and Regulatory Landscape with Sidley Ranah Esmaili, Partner, Sidley Austin LLP Andrew Blake, Partner, Sidley Austin LLP |
5:00 pm | Happy Hour (Chicago Board of Trade Rooftop) |
Thursday, October 23rd
8:30 am | Breakfast with Bruce (hosted by Bruce ATS) |
9:00 am | Extended Hours Trading Jason Wallach, CEO, Bruce Markets LLC Kathy Inglot, CCO, Bruce Markets LLC |
9:30 am | Artificial Intelligence Panel (in formation) Douglas Hamilton, Head of AI Research & Engineering Global Technology, Nasdaq William J. Barbera, Partner, McDermott Will & Schulte Erik Obermeier, Head Financial Crime Advisory, Americas, Genpact Mariano Sarullo, VP, AI Engineering and Architecture, Apex Fintech Solutions Sarah Murphy Gray, PhD, Head of Responsible AI, Google Cloud |
11:00 am | Break |
11:15 am | Other Compliance Topics |
12:00 pm | Wrap Up / Sendoff Lunch |