Annual RIA CCO Roundtable

Compliance Leaders,

We are excited to announce that Apex Fintech Solutions will be hosting the Annual RIA CCO Roundtable on Thursday, May 7th 2026 at the Apex New York Office.

Designed for advisory firm leaders, we’ll dig into the regulatory developments shaping RIAs today—updates on Apex’s compliance program, changes under the Marketing Rule and Regulation S‑P, safeguarding client assets, fee and valuation controls, off‑channel communications, and current exam focus areas.

This roundtable is a working session: a collaborative forum to swap best practices, compare approaches across SMAs, wrap programs, and private funds, and preview practical tools. Expect candid peer insights and actionable strategies to scale oversight while honoring your fiduciary duty and staying ahead of regulatory priorities.

Following the day’s activities, we are hosting a happy hour on our office rooftop. We hope to see you there!

Questions? Contact RJ Swartz at rswartz@apexfintechsolutions.com.

-Andrew Tourney, Apex Fintech Solutions CCO