Thank You to Our 2027 Exhibitors
Interested in becoming an exhibitor?
Use IAA Access to view and reserve a range of opportunities to connect with and engage investment advisers at the 2027 Compliance Conference and beyond.
If you have questions, please contact Alex Ioannidis.
Charles Schwab is the industry’s leading custodian for independent registered investment advisers, offering a robust suite of technology platforms, practice management tools, and operational support to help firms thrive and scale. One area of support is our Schwab® Designated Brokerage Services, focusing on employee trade monitoring that allows for access to our powerful technology and strong support. Take steps toward a more efficient and effective risk management program.
As a global market leader in regulatory compliance solutions, COMPLY combines the power of regulatory technology, services, and education to empower Chief Compliance Officers and compliance professionals to easily navigate the regulatory landscape. COMPLY enables firms to scale their growth while remaining vigilant in their compliance efforts by providing solutions designed to manage the burden of compliance tasks. Our deep bench of industry expertise supports more than 7,000 clients, including private funds, registered investment advisers, and other financial service participants.
Egnyte is the secure multi-cloud platform for content security and governance that enables organizations to better protect and collaborate on their most valuable content. Established in 2008, Egnyte has democratized cloud content security for more than 22,000+ organizations, helping customers improve data security, maintain compliance, prevent and detect ransomware threats, and boost employee productivity on any app, any cloud, anywhere.
Greenboard is an AI-native operating system for SEC & FINRA compliance that can replace virtually all legacy systems from archiving, to marketing reviews, to employee compliance. Greenboard saves time for compliance teams via automation and dramatically reduces risk via AI-enabled risk detection. Greenboard is the fastest growing technology firm in its space and now serves 350+ financial firms and has raised $20M+ from top venture funds like General Catalyst and Y Combinator.
Quest CE helps financial service organizations manage their compliance operations by offering firm training programs, disclosure tracking services and branch audit solutions. At Quest CE, our goal is simple: we want to be your one-stop-shop for compliance technology, training and support. We’re proud to work with some of the nation’s most prestigious financial institutions, as well as their 600,000 end users – a number that continues to grow daily.
Renaissance Regulatory Services, Inc. provides comprehensive regulatory, compliance, and operational consulting and support services to broker-dealers, investment advisers, private funds, investment companies, and banks. We specialize in SEC, FINRA and State compliance examinations, written supervisory procedures, internal controls testing, regulatory reporting, and registration services. RRS has also served as an independent consultant on a wide range of regulatory undertakings for investment advisers, broker-dealers and other financial institutions as well as providing litigation support in regulatory matters. Our services are customized to fit each firm’s unique operations.
Skematic is a compliance management system designed for financial services firms, unifying firm-level program oversight and employee Code of Ethics management in one platform. Compliance teams can manage tasks, policies, certifications, preclearance, trade surveillance, and cases from a single dashboard with real-time visibility. The system consolidates all activity into an audit-ready record, reducing manual work and streamlining exams.