Are you prepared? What Early Policy Changes Mean for Compliance in 2025

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Just a month into the new administration, key shifts in SEC oversight, enforcement, and regulatory priorities are already taking shape. With President Trump back in office and Mark Uyeda named as the new acting SEC Chair, financial firms must prepare for an evolving regulatory agenda and enforcement strategies.

What does this mean for advisors, RIAs, broker-dealers, and private funds? How soon will these changes take effect, and how should your teams adapt?

Join our panel of regulatory experts and practitioners for a deep dive into the administration’s first 30 days and how financial services firms may be impacted.

Key takeaways:

●      Regulatory shifts in the administration’s first month

●      Regulatory proposals to watch—which rules are most likely to advance?

●      Shifts in enforcement priorities and what they mean for compliance teams and programs

Don’t miss this timely discussion on the evolving regulatory landscape and how your firm can proactively prepare.

Featured Speakers:

Jamila Mayfield | Chief Regulatory Services Officer | COMPLY
Jamila Mayfield joined COMPLY in 2024 as the Chief Regulatory Services Officer, leading COMPLY’s consulting services arm. With her extensive regulatory experience, which spans over 20 years, Jamila will drive the strategic growth of the global consulting and education organization. Additionally, she will work cross-functionally with product, sales, and marketing to integrate COMPLY’s expert services into the COMPLY platform, delivering true end-to-end compliance program management solutions for financial services organizations.

Mederic Daigneault | VP, Private Fund Advisory Consulting | COMPLY

For more than 20 years, Mederic has counseled businesses and institutions on regulatory financial services matters. His clients include national and international financial services firms, comprising investment advisers, private fund managers (including hedge fund and private equity fund managers), multifamily offices, and broker-dealers. Med has extensive experience partnering with his clients to identify their regulatory requirements, conflicts of interest, and risks to assist in the development, implementation, and testing of compliance programs and supervisory structures. He works closely with his clients on matters concerning compliance with securities laws and regulations, assisting with SEC examinations, and resolving material compliance deficiencies and violations.

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