Thomas Kennedy & Mark Shaffer Present "Practical Strategies for Managing Investment Adviser Conflicts of Interest"

Event
, RCCB and 3iCO
-
, January 27, 2026

The SEC is doubling down on fiduciary compliance in 2026. Is your firm ready? The SEC’s 2026 Examination Priorities make it clear: fiduciary duty, conflicts of interest, and the effectiveness of compliance programs will be front and center in upcoming exams.

Join us for a live webinar, “Practical Strategies for Managing Investment Adviser Conflicts of Interest,” where we’ll break down what examiners are likely to scrutinize, highlight real enforcement cases where firms got it wrong, and share practical steps advisers can take now—before examiners arrive.

What we’ll cover:
 • Which policies and procedures are likely in scope
 • Common compliance failures that have led to enforcement actions
 • How to ensure policies aren’t just documented—but working in practice

Approved for 1 hour of CE credit (Fi360, CFP Board, IWI)

Speakers:
 • Thomas Kennedy, Compliance Director & Counsel, 3iCO LLC & Royer Cooper Cohen Braunfeld LLC (RCCB)
 • Mark Shaffer, Partner, Royer Cooper Cohen Braunfeld LLC (RCCB)

🟦 Reserve your spot: https://bit.ly/3ZgE7jX

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