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Upcoming

Stay on the Right Side of Compliance with Inform

Event Description: Unlike most other compliance tools, Inform offers easy monitoring through custom rules and workflows with an efficient and user-friendly dashboard.  Join Kristopher Heig, Compliance Director, and Sean Hollingshead, Vice President of Managed Accounts as they demonstrate how Inform can help you: monitor employee trades, track approval and rejection of gifts and outside business activities, build custom transactional and Code of Ethics questionnaires, and keep results for easy record keeping and future access for the SEC and state regulators.
On Demand

InvestmentNews RIA Breakaway Compliance Webcast

Events Description: Join InvestmentNews and Orion's Compliance Director, Kristopher Heig at 4 PM ET for a webcast focused on RIA compliance and doing a deeper dive, specifically into how tech is helping RIAs stay compliant.
On Demand

Orion + BasisCode: Get Your Firm Audit-Ready with Compliance Technology

Event Description: There is increasing demand to improve effectiveness of compliance programs, based on SEC regulations and the compliance risks in the advisor work-from-home model. Now is the time to learn about Orion’s new partnership with BasisCode Compliance, LLC., a comprehensive cloud-based compliance software platform for the financial services industry. Join Orion Advisor Solutions’ General Counsel, Kylee Beach and Vice President of Compliance Technology, Carlos Guillen as they discuss the robust offering BasisCode brings to Orion advisors, along with a glimpse of the future integrated roadmap and an insider’s view demo of the game-changing compliance tech by Orion’s Sonya Reeve.
On Demand

IAA Compliance Conference

JW Marriott 1331 Pennsylvania Ave NW, Washington
Event Description: Orion is proud to support the 2022 Investment Adviser Association’s Compliance Conference March 3-4, 2022, in Washington, D.C. as an exhibiting sponsor. The IAA’s Compliance Conference is a comprehensive, two-day, in-person program that provides investment advisers with current information on the changing regulatory landscape. The program features expert speakers, including SEC officials, in-house legal counsel and compliance officers, partners with leading law firms, and the IAA legal team. The Orion team is excited to participate in person and connect with attendees.

SIFMA Compliance & Legal Seminar

JW Marriott Grande Lakes
Event DescriptionOrion is proud to be an exhibiting sponsor at SIFMA’s 2022 Compliance & Legal Seminar – where compliance and legal professionals from across the financial services industry come together. Our team is eager to participate in this event and connect with attendees who will have access to insightful conversations with financial services leaders and regulators, valuable professional development opportunities, meaningful networking, and timely and topical discussions from some of the industry’s foremost solution providers. 

2022 National Leaders Forum

Loews Miami Beach Resort 1601 Collins Ave, Miami Beach
Event Description: Orion is a proud sponsor of Equitable’s 2022 National Leaders Forum and will be participating as both an exhibitor and content provider. Tim Holland, Chief Investment Officer, is on the agenda to give a timely and insightful “Economic and Political Update” on Tuesday, April 26th.

LPL Investment Symposium for Equitable Advisors

Grand Hyatt Nashville Nashville
Event Description: Orion is proud to support and attend the LPL Investment Symposium in Nashville as both an exhibiting sponsor and content provider. The Investment Symposium is an elite event offered exclusively to the most successful Equitable Advisors’ financial professionals achieving outstanding LPL Financial advisory sales in 2021.

INVEST 2022

New York Hilton Midtown New York City
Event Description: Orion is a proud supporter of the upcoming Financial Planning INVEST conference as both an exhibiting sponsor and content provider. On Friday, June 17th at 10:30am, Dr. Daniel Crosby, Chief Behavioral Officer will be on the main stage with his presentation "Can Behavioral Finance Lead to Better Advice?".

SEC Exam Priorities: What to Know, How to Prepare, the Tech You Need

Event Description: Compliance is not an annual one-and-done reporting activity, as we’re reminded each year with the release of SEC Exam Priorities, which indicates the areas that Compliance Officers should direct their energies during the year. SEC enforcement actions against firms increased by 7% in 2021, so advisor firms need to stay abreast to mitigate their risk with the ever-evolving regulatory requirements. During this webinar, Orion’s CCO Brian Ferko flags the hot topics from the exam priorities and how to prepare, and Carlos Guillen, SVP of Tech Products, shares how the game-changing BasisCode compliance Platform enables advisors to stay ahead of regulatory inquiries.
On Demand