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Thompson Hine LLP, a full-service business law firm with approximately 400 lawyers in 11 offices, was ranked number 1 in the category “Most innovative North American law firms: New working models” by The Financial Times and was 1 of 7 firms shortlisted for The American Lawyer’s inaugural Legal Services Innovation Award. The firm has been recognized by the National Law Journal as a Legal Technology Trailblazer and featured by Bloomberg for its innovative service delivery models, which drive accuracy and predictability. The firm’s commitment to innovation is embodied in Thompson Hine SmartPaTHTM – a smarter way to work – predictable, efficient and aligned with client goals. For more information, please visit ThompsonHine.com and ThompsonHine.com/SmartPaTH.

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Date: Wednesday, May 13, 2026 Time: 3:30 p.m. ET Location: Thompson Hine LLP, 3900 Key Center, 127 Public Square, Cleveland Contact: Elise Hoffer, <a href="mailto:Elise.Hoffer@ThompsonHine.com">Elise.Hoffer@ThompsonHine.com</a>, 513.352.6748

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This interactive session, designed specifically for compliance leaders at registered investment advisers, will bring together peers and industry professionals for a practical discussion on the evolving regulatory landscape and the challenges shaping compliance programs today.

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Our panel will discuss timely and high-impact topics, including:

Compliance and legal considerations in RIA mergers and acquisitions

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The use of artificial intelligence by advisers and developing appropriate compliance frameworks

Recent SEC examination priorities and new regulatory developments

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This forum is designed to be highly interactive, offering an opportunity to exchange insights, share best practices, and engage in candid discussion with fellow CCOs facing similar challenges.

Following the program, we invite you to stay for networking with peers and presenters.

<a href="https://www.thompsonhine.com/professionals/andrew-j-davalla/" target="_blank" rel="noreferrer noopener">Andy Davalla</a>, Partner, Thompson Hine

<a href="https://www.thompsonhine.com/professionals/shelbie-harvey/" target="_blank" rel="noreferrer noopener">Shelbie Harvey</a>, Senior Managing Associate, Thompson Hine

<a href="https://www.linkedin.com/in/lauraarnottcfa/" target="_blank" rel="noreferrer noopener">Laura Arnott</a>, Director, Vigilant

Chief Compliance Officer Forum

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