Practical Strategies for Managing Investment Adviser Conflicts of Interest
February 6, 2026
Live Webinar from February 5th now available on-demand
3iCO works with investment advisers every day to address regulatory expectations around fiduciary duty, conflicts of interest, and the real-world effectiveness of compliance programs. The SEC’s 2026 Examination Priorities confirm what firms are already experiencing in exams: these areas remain central to regulatory scrutiny.
In this on-demand webinar, presented by Broadridge, Thomas Kennedy 3iCO Compliance Director & Counsel at Royer Cooper Cohen Braunfeld and Mark Shaffer, Partner at Royer Cooper Cohen Braunfeld, provide practical guidance on conflicts of interest that SEC examiners are focusing on in exams, where firms most often fall short, and how advisers can strengthen their programs before an exam begins.
The discussion draws on their hands-on advisory experience and real enforcement cases to outline concrete steps firms can take to:
- Identify the conflicts of interest that are specifically highlighted as in scope by the SEC for examinations this year, as well as the conflicts that the SEC looks for in exams every year.
- Implement practical mitigation strategies for these conflicts through policies and procedures to address the conflicts, and techniques for providing the required disclosures.
- Avoid common compliance failures that have led to enforcement actions for failing to identify, mitigate and disclose conflicts.
To access the webinar complete the (no-fee) Broadridge registration form to view the presentation.
Beyond the Exit
What does it really take to build an RIA that scales, and ultimately
sells well?
Last week, 3iCO’s Justin Dausch and Tom Kennedy joined Cornerstone’s Carmela Ravi and Kathmere Capital’s Kevin McDermott for Beyond the Exit: Strategies for RIAs to Build Strength, Scale & Succession, a thoughtful, practical masterclass on how firm value is truly built.
From succession planning to operational due diligence and proactive compliance, the discussion reinforced a simple truth:
the strongest exits are the result of long-term, intentional decisions...not last-minute fixes.
The carousel highlights key takeaways for RIA leaders focused on building durable, credible firms...whether an exit is years away or not
even on the radar.
Compliance Unplugged
On December 4, 2025, 3iCO hosted Compliance Unplugged, a LinkedIn Live event featuring CEO Laura Flanagan, RegAlytics CEO Mary Kopczynski, and guest attorney Mark Shaffer of Royer Cooper Cohen Braunfeld LLC. Together, they cut through noise and jargon to break down what’s actually happening at the SEC...practically, humanly, and usefully. No theater.
Just insight.
The conversation explored how the compliance landscape is shifting in real time: changing enforcement priorities, the ongoing importance of accurate disclosure, and emerging risks around AI, crypto, and off-channel communications.
They also shared what firms are seeing in exams today: signals that regulators may be looking more closely, why AML and KYC still matter even amid paused rulemaking, and one theme worth underscoring—progress often matters more than perfection.
Explore our infographics here for practical, actionable takeaways you can put to work immediately.
Managing Insider Trading Risks
October 10, 2025
This article was originally published for the National Society of Compliance Professionals on August 14, 2025
Insider trading is the practice of trading securities by persons in possession of material, non-public information(“MNPI”) about such securities. Material information has been described by the U.S. Securities and ExchangeCommission (“SEC”) as information that a reasonable investor would consider important in making his or her investment decisions, or information that is reasonably certain to have a substantial effect on the price of a company’s securities.