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November 8, 2021

General Session - Keynote Interview with Commissioner Crenshaw (OPEN)

Session 1
1a.  ALL – Data Privacy Regulations and Trends (Intermediate)
1b.  ALL - The DOL Rule (Again! Well Not Exactly…)  (Intermediate) 
1c.  IA/IC/PF – SEC Regulatory Review (OPEN)
1d.  MA – MSRB & SEC Regulatory Review (OPEN) (Intermediate) 
1e.  PF – Legal and Compliance Issues for Private Funds (Intermediate)
1f.  BD – LAB - Managing Marketing: Advertising Compliantly  (Basic) 

Session 2
2a. ALL – Preparation for Disasters and Other Unexpected Events (Intermediate)
2b. ALL – Fundamentals of Anti-Money Laundering (Basic) 
2c. ALL – Legal, Compliance and Risk Responsibilities During Strategic Corporate Transactions (Advanced)
2d. BD – FINRA Regulatory Review (OPEN)
2e. IA/PF - The New SEC Investment Adviser Marketing Rule – What You Need to Know  (Intermediate)
2f.  ALL - LAB - Handling Customer Complaints: It’s Every Firm’s Problem (Intermediate)
2g. ALL - Canadian Compliance Talk Group

Networking Lunch & Business Meeting

Session 3
3a. ALL – Innovation or Disruption?  The Impact of FinTech and RegTech on Compliance Programs  (Intermediate)
3b. ALL – Ethical Best Practices:  Taking Tone at the Top to a Crescendo  (Advanced)
3c. IA/PF - What to Know Before Going Global  (Intermediate)
3d. ALL -  ALL – LAB - How to Detect and Prevent Manipulative Trading (Intermediate)
3e. BD/IA - Dual Registrants - Small Firms Talk Group
3f. BD/IA - Dual Registrants - Medium to Large Firms Talk Group
3g. Pension Funds, Foundations and Endowments Talk Group
3h. BD/IA - Insurance Compliance Talk Group

Session 4
4a. ALL - Financial Forensics (Intermediate)
4b. ALL – Solutions for Small Firms: Doing More with Less (Intermediate)
4c. BD/IA – Protecting Our Most Vulnerable Clients (Basic)
4d. ALL – LAB -Regulatory Exam Preparation (Intermediate)
4e. ALL - Global Financial Crimes Compliance Talk Group
4f. IC - Investment Company Compliance Professionals Talk Group
4g. MA - Best Practices for Municipal Advisors Talk Group
4h. BD - Retail Firms Talk Group

Networking Reception


November 9, 2021

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General Session - ESG Keynote Panel (OPEN)

Session 5
5a. ALL – The Impact of Digital Assets on Your Compliance Program (Intermediate)
5b. ALL – The Pandemic and Beyond: Overcoming Compliance Challenges in 2021 (Intermediate)
5c. BD - Post Implementation Best Practices for Reg BI  (Intermediate)
5d. IC – Investment Company Issues and Trends  (Advanced)
5e. PF – Advisers Act Compliance for PF Managers:  Beyond Theory, Into Practice (Intermediate) 
5f. ALL – LAB - Delving into Investment Due Diligence (Basic)
5g. BD - Institutional Firms Talk Group

Session 6
6a. ALL – The Business of Workplace Retirement Plans (Basic) 
6b. ALL – Will AI Revolutionize the Financial Services Industry? (Intermediate)
6c. ALL – Diversity, Equity & Inclusion - The Conversation Continues (Intermediate)
6d. BD – Social Media – Compliance Best Practices (Intermediate)
6e. ALL - IA/IC/PF – SEC Enforcement Issues (OPEN) 
6f. ALL - Ethical Decision-Making for Compliance Lab  (Intermediate)
6g. BD/IA - Branch Inspection Talk Group

Networking Lunch

Session 7
7a. ALL – Lessons in Cybersecurity:  Regulatory Expectations (Intermediate)
7b. BD – Effective Oversight Structures for Broker-Dealers (Intermediate)
7c.  IA – The  Impact of  State Rules on Federally Registered Firms (OPEN) (Advanced)
7d. IA/IC/PF – Managing the Challenges and Uncertainty of Pricing and Valuation Practices (Intermediate)
7e. IC – Implementing Your Mutual Fund Compliance Program (Basic)
7f. ALL –  LAB - How to Detect and Prevent Misappropriation (Intermediate)
7g. Diversity, Equity & Inclusion Talk Group

Session 8
8a. IALL – Know Your Vendors:  Third Party Due Diligence, Oversight & Governance (Intermediate)
8b. BD – Best Practices for Dealing with Enforcement Issues  (OPEN)
8c. IA - Understanding the Ever-changing Landscape of Alternative Investments (Advanced)
8d. IA/PF – Managing Compliance and Regulatory Requirements in Europe  (Intermediate)
8e. ALL - When Reporting Compliance Issues Up the Chain Doesn’t Work  (Intermediate)
8f. ALL – LAB - Breaking the Stress Cycle For More Effectiveness Lab (Basic)
8g. Private Funds Issues Talk Group

Networking Reception

November 10, 2021

Session 9
9a. ALL – Managing CCO Liability In Uncertain Times (Intermediate)
9b. ALL - Performing Robust Testing of Policies & Procedures (Intermediate)
9c. BD/IA – Ethics of Managing Personnel Conflicts of Interest – Challenges for Dual Registrants (Intermediate)
9d. IA/PF - Performance Advertising Rules:  Now and Into the Future  (OPEN)

Session 10
10a.  ALL –  Converting Critical Enterprise Risks into a Usable Risk Matrix (Intermediate)
10b.  ALL – Insider Trading Trends and Evolving Compliance Best Practices (Intermediate)
10c.  ALL – ERISA:  Recent Developments and Hot Topics (Intermediate)
10d.  IA – Evolving Custody Responsibilities (Intermediate)

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(860) 672-0843