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
Event Details:
Dates: Thurs., May 7, 2026
Location: Apex Office, Hudson Commons, 441 Ninth Ave. 25th Floor, New York, NY 10001
Agenda
8:30 am | Breakfast & Networking Kick off the morning with local pastries, coffee, and informal connections among RIA compliance leaders |
9:00 am | Opening Remarks & Introductions Welcome from Apex leadership, setting the stage for regulatory insights and RIA strategies |
9:30 am | SEC Insider: Candid Chat with Natasha Vij Greiner, partner, WilmerHale Fireside chat with former SEC director of investment management hosted by Andrew Tourney, chief compliance officer, Apex. Drawing from her 24-year SEC tenure, Greiner will share insights in SEC exam priorities, enforcement trends, and RIA regulatory shifts |
10:45 am | Break |
11:00 am | Defending Against Financial Crimes and Cyber Events Open discussion hosted by Justin Morgan, head of financial crimes, Apex |
12:15 pm | Lunch |
1:00 pm | AI Strategies for Advisory Innovation This panel will explore the emerging opportunities and considerations for using AI in investment advice; moderated by Rajeev Khurana, chief legal officer, Apex, and joined by Brendan King, chief executive officer, Wavvest; Kate Ring, chief compliance officer, Stash; and Kelly Koscuiszka, partner, McDermott Will & Schulte |
2:30 pm | Break |
2:45 pm | RIA Compliance Issues Roundtable Open discussion focused on changes and challenges in RIA compliance, including marketing, digital assets, fiduciary duties, and privacy; hosted by Michael Oxley, deputy chief compliance officer, Apex |
4:00 pm | Apex Solutions for Advisors A walk-through of Apex products and tools that are geared toward Advisory clients from Mike Kerins, head of advisory product experience |
5:00 pm | Happy Hour Hosted by McDermott Will & Schulte Join us on the rooftop of our new Apex office for hors d'oeuvres, drinks, and continued conversation |