March 12, 2026
On March 22-25, partners Matthew Comstock, Kristy Littman and Brian Baltz will participate as speakers during the 2026 SIFMA Compliance & Legal Society Annual Seminar, hosted in Orlando, Florida. Additionally, partners James Anderson and Jennifer Porter will attend the conference.
On March 23 at 11:15 am (ET), Matt will speak on the panel titled “Managing Compliance Across Affiliated Entities: Broker-Dealers, Funds, Investment Advisers and Banking Institutions.” The panelists will offer insights on optimizing the compliance organizational model, navigating affiliate-related COI, affiliate and vendor oversight, and considerations for product distribution, among other topics.
On March 24 at 11:10 am (ET), Kristy will moderate the panel titled “Inside Job: The Ethics of Internal Investigations.” The panelists will discuss the ethical duties of in-house and outside counsel in conducting internal investigations, examine conflicts of interest and witness representation, consider privilege issues, and explore professional responsibility concerns and how to ethically handle whistleblower complaints, among other topics.
On March 24 at 12:35 pm (ET), Brian will speak on the panel titled “Hey Siri… Navigating AI Use By Financial Advisors.” The panelists will provide an overview of AI adoption trends by financial advisors and firms, current use cases for supervision and oversight, risks and challenges, regulatory concerns, and the future outlook for AI’s role in democratizing financial advice and the potential impact to traditional business models.
Learn more and register here.
