MCO Exchange 2026

12:45 PM - 5:00 PM

Registration Opens

1:00 PM - 2:30 PM

Pre-Conference Workshop - MCO Platform Foundations: From Login to Launch

A hands-on, guided introduction to the MCO platform. Designed for new users or teams onboarding new roles, this workshop walks through navigation, core modules, and everyday compliance workflows. Bring your laptops! Space is limited. Attendees must reserve their spot during registration.

2:30 - 3:00 PM

Break

3:00 PM - 4:15 PM

Pre-Conference Workshop - Configure Once, Scale Everywhere: Advanced MCO Optimization & Reporting

An advanced, hands-on session focused on configuring workflows, automation, and reporting to reduce manual effort and improve audit readiness across the organization. Bring your laptops! Space is limited. Attendees must reserve their spot during registration.

5:00 PM - 7:00 PM

Networking Reception

Unwind and connect with fellow attendees at our Networking Reception! Enjoy a relaxed evening featuring delicious hors d’oeuvres, refreshing drinks, and great music. This is the perfect opportunity to build new relationships, catch up with peers, and engage in meaningful conversations. Don’t miss it!

7:30 AM - 8:30 AM

Breakfast

8:30 AM - 8:40 AM

Welcome & Opening Remarks

8:40 AM - 9:40 AM

The Future of Compliance with MCO

In our opening keynote, MCO CEO Brian Fahey shares his view of how the compliance landscape is changing and why fragmented tools and manual workarounds are no longer sustainable.

9:40 AM - 9:45 AM

Break

9:45 AM - 10:45 AM

Product Roadmap: Coming Attractions in the MCO Platform

A roadmap overview highlighting upcoming product capabilities, AI-driven innovation, and how customer feedback is shaping MCO’s direction.

10:45 AM - 11:15 AM

Break

11:15 AM - 12:15 PM

Panel Discussionl: AI, Crypto, and the New Compliance Reality

In this candid panel discussion, learn from fellow MCO users who will share lessons learned while supervising emerging risks, including how they’re adapting their compliance programs to address AI-driven behavior, digital assets, and an evolving regulatory landscape.

12:15 PM - 1:15 PM

Lunch

1:15 PM - 2:15 PM

Breakout Session: Broker-Dealer Track: Supervisory Workflows That Scale

As broker-dealer programs grow in complexity, supervision can’t rely on disconnected tools or manual workarounds. This session walks through scalable supervisory workflows—from surveillance and alerts through investigations, attestations, and reporting—showing how broker-dealer teams are building defensible, repeatable processes that stand up to regulatory scrutiny.

1:15 PM - 2:15 PM

Breakout Session: From Capture to Case: eComms Oversight That Holds Up

Learn how leading firms turn everyday electronic communications into clear, defensible evidence—capturing data cleanly, surfacing the right signals, documenting judgment, and building an audit‑ready story regulators can follow.

2:15 PM - 2:25 PM

Break

2:25 PM - 3:25 PM

Breakout Session: RIA / Buyside: Running Your Entire Compliance Program on One Platform

RIA and buyside compliance teams are expected to manage employee conduct, trading risk, communications, third‑party relationships, and regulatory obligations—often with lean teams and fragmented tools. We’ll explore how firms can use MCO to reduce complexity, improve visibility, and stay exam‑ready.

2:25 PM - 3:25 PM

Breakout Session: Know Your Obligations (KYO): From Policy to Proof

This session will provide an overview of how KYO enables firms to operationalize regulatory obligations by connecting policies, attestations, workflows, and reporting into a single, defensible program.

3:25 PM - 3:55 PM

Break

3:55 PM - 4:55 PM

Compliance 2026: Let AI Handle the Noise

Learn how firms are using AI to cut alert fatigue and surface real risk.

4:55 PM - 5:00 PM

Closing Remarks

5:30-7:30 PM

Networking Reception

7:30 AM - 8:30 AM

Breakfast

8:30 AM - 8:40 AM

Welcome & Opening Remarks

8:40 AM - 9:40 AM

Compliance Rewired: How the Operating Model Is Changing

An external perspective on regulatory pressure, AI adoption, and how leading firms are rethinking the compliance operating model.

9:40 AM - 9:45 AM

Break

9:45 AM - 10:45 AM

Mining for Trouble: Crypto & Digital Asset Surveillance

Crypto shouldn’t live in a compliance silo. In this practical session, we’ll walk through how firms monitor digital‑asset activity using the same disciplined surveillance playbook they apply to traditional trading—identifying risk indicators, reviewing activity, escalating concerns, and documenting outcomes.

10:45 AM - 11:15 AM

Break

11:15 AM - 12:15 PM

Breakout Session: Data You Can Defend: Integrations, OCR & Getting to Complete Coverage

In this practical breakout, we’ll show how to build defensible data coverage across trades, disclosures, communications, and third‑party activity.

11:15 AM - 12:15 PM

Breakout Session: KYTP & FinCEN Readiness: Building Third‑Party Oversight That Holds Up

Third parties—customers, vendors, suppliers, and business partners—can create real AML, fraud, sanctions, and reputational risk. In this breakout, we’ll show how to run one consistent KYTP program.

12:15 PM - 1:15 PM

Lunch

1:15 PM - 2:15 PM

Breakout Session: KYE & Exams: What Regulators Expect to See (and What Breaks Under Scrutiny)

This session focuses on how KYE programs are evaluated during regulatory exams, where programs commonly fall apart, and how to structure employee attestations, certifications, and records so they hold up under scrutiny.

1:15 PM - 2:15 PM

Breakout Session: Insider Risk: Who Knew. Who Acted. What Happened Next.

Insider risk rarely shows up neatly inside a single system. This breakout walks through realistic insider risk scenarios—from including conflicts and MNPI exposure to and suspicious trading behavior—and shows how MCO works across modules to surface risk, guide investigations, and support defensible decisions.

2:15 PM - 2:35 PM

Break

2:35 PM - 3:35 PM

Anything Goes: MyComplianceOffice Q&A with Jasmine & Lyle

Jasmine and Lyle work with customers every day and know the MCO platform inside and out—from configuration and workflows to the real‑world edge cases that don’t always fit neatly into formal demos. There is no preset agenda: questions come directly from the audience and can span any topic across the MCO platform. Whether you’re troubleshooting a specific setup, validating an approach, or looking for better ways to use what you already have, this session is designed to deliver practical, candid answers grounded in real customer experience.

3:35 PM - 4:00 PM

Closing Remarks & Key Takeaways