This webcast aired on June 29, 2022. 
CPE Credit(s): 1

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Building a comprehensive compliance program dynamic enough to address the rapidly evolving regulatory landscape is a tall order. Chief compliance officers and their teams are under increasing pressure to evaluate and choose the right technology partner to meet their growing compliance needs in the face of potential changes to their costs, solutions, and platforms.

With merger and acquisition consolidation among third-party compliance technology solutions providers impacting firms’ future compliance strategies, particularly those transitioning from recently acquired Schwab Compliance Technologies, you’re faced with a question: Do you stay or do you go?

The truth is, changing technology can be stressful and risky, especially if you require a more personalized, custom approach. Although difficult, this is also the perfect opportunity for you to weigh your options and find the partner that is right for you and your firm.

In this session, ComplySci Chief Executive Officer Amy Kadomatsu will be joined by a transition specialist, a client who has made the switch, and a legal specialist to answer questions such as:

  • What technology tools can compliance teams use to enhance their programs?
  • What should compliance teams consider when evaluating technology providers?
  • What do compliance teams fear most when thinking about switching technology platforms?
  • What is the transition really like, and is it worth it on the other side?
  • How do I get buy-in from leadership to make a change?
  • How can I make the switch as seamless and easy as possible for my team and our employees?

Those who sign up and attend the webinar will be offered a complimentary consultation with a compliance technology specialist to discuss firm-specific items and additional questions you may have about evaluating, selecting, and getting buy-in for a change. Take this opportunity to explore your options and make the choice that is best for you.

Amy Kadomatsu, Chief Executive Officer – ComplySci
Taylor Johnson, Vice President of Customer Success – ComplySci
Chris DiTata, Esq., Senior Vice President, Compliance Operations and General Counsel – RIA in a Box