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On Demand Events

On Demand Events

Miss out on a recent webinar? No problem — all our past webinars are available to you on demand, 24-7.

How the Right Compliance Tech Fuels Your Fiduciary Process: Simplifying Your Life with Orion Compliance

Event Description: BasisCode, an industry-leading compliance management fintech solution, is now Orion Compliance. With its mission to help advisors everywhere build audit-ready firms, the end-to-end compliance solution is a natural fit for Orion, where our vision is to power the advisor-client journey with an eye toward seamless fiduciary processes. Carlos Guillen, BasisCode Founder and SVP of Tech Products at Orion Advisor Tech, joins Stephanie Sager, VP of Business Development at Orion, to discuss how Orion Compliance will immediately ease the struggles advisors face in building a robust compliance program. Plus, they’ll offer a sneak peek at future enhancements that will allow Orion Compliance users even greater control over client-focused compliance matters.

On Demand

Orion + BasisCode: How BasisCode Helps One CCO Keep 75+ Affiliates Audit-Ready

Event Description: Cherie Jolly, CCO of Dynamic Advisor Solutions, is charged with helping the 75+ affiliates the business supports remain in compliance year-round. Compliance professionals know the importance of leveraging a comprehensive technology platform to help manage their clients compliance programs. From automating key Code of Ethics functions to tracking filing deadlines and providing essential training to advisors, BasisCode helps Cherie automate and streamline critical compliance tasks to keep each firm audit-ready. In this webinar, Carlos Guillen, Orion’s SVP of Tech Products, invites Cherie to share how BasisCode helps her provide best practices compliance services to her firms and their 3,600 investors.

On Demand

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

LPL Investment Symposium for Equitable Advisors

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.

SIFMA Compliance & Legal Seminar

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. 

IAA Compliance Conference

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.

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

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