Compliance Fundamentals Training Conference (CFTC) provides essential training to newer compliance staff and allows seasoned professionals to revisit the fundamentals. CFTC focuses on core issues and fundamentals of compliance such as: AML, antifraud, complaint handling, form filing, market conduct and suitability. The conference also affords ample networking opportunities with fellow attendees and faculty. Regulatory faculty members offer an explanation of their important regulatory role and provide details regarding the market conduct exam process.

CEFLI’s next Compliance Fundamentals Training Conference will take place in the Spring of 2026.

In the Spring of 2025 CEFLI will be offering its Advanced Compliance Forum event.

CFTC returns in Spring ’26

Previous Compliance Fundamental Training Conferences