Boca 2015 Compliance Conference
 
  
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BD Firms RIA Firms

September 24th, 2015
1:00 pm - 1:15 pm
Conference Kickoff and Welcome
1:15 pm - 2:05 pm
The Evolving Regulatory Landscape with John H. Walsh
2:15 pm - 3:05 pm
Regulatory Roundtables with former and current FINRA, SEC, and State regulators (BD)
2:15 pm - 3:05 pm
Regulatory Roundtables with former and current SEC and State regulators (RIA)
3:05 pm - 3:35 pm
Break - Networking / Meet the Vendors
3:35 pm - 4:25 pm
Risk Management and CCO Liability (RIA)
3:35 pm - 4:25 pm
You’ve Been Designated CCO, What’s Next? (BD)
4:35 pm - 5:25 pm
Demystifying Compliance for Dual Registrants
4:35 pm - 5:25 pm
New Form ADV Disclosure Obligations
6:00 pm - 9:00 pm
Networking Hour & Dinner Reception
 
September 25th, 2015
7:00 am - 8:15 am
Networking Breakfast
8:15 am - 9:05 am
Marketing & Social Media in a Device-Driven World (BD/RIA)
9:15 am - 10:05 am
Keynote Address: Larry McDonald, Noted Economist and Author
10:05 am - 10:35 am
Break - Networking / Meet the Vendors
10:35 am - 11:25 am
Conducting Meaningful Best Execution Reviews (RIA)
10:35 am - 11:25 am
Don’t Be Conflicted – Is it an OBA or PST? (BD)
11:25 am - 12:15 pm
Networking Lunch
12:15 pm - 1:05 pm
Featured Speaker: Helen Sharkey, Professional Speaker on Ethics, Accountability & Whistleblower Responsibilities
1:15 pm - 2:05 pm
Advertising: Test your Review Skills (WORKSHOP) (BD/RIA)
1:15 pm - 2:05 pm
Growing Your Business with Regulatory Confidence
2:15 pm - 3:05 pm
Protecting Investors/Seniors (BD)
2:15 pm - 3:05 pm
Senior Sales Practices (RIA)
3:05 pm - 3:30 pm
Break - Networking / Meet the Vendors
3:30 pm - 4:20 pm
Net Capital Pitfalls (BD)
3:30 pm - 4:20 pm
Oversight of Service Providers (Due Diligence) (BD/RIA)
4:30 pm - 5:45 pm
Cybersecurity: How Regulation and Risk Mitigation are Reshaping Your Firm’s Operations
6:30 pm - 9:00 pm
Dinner
 
September 26th, 2015
8:00 am - 9:00 am
Networking Breakfast
8:00 am - 1:00 pmGolf Scramble/Bramble
9:00 am - 9:50 am
WORKSHOP - Auditing: Last Year the Rules Changed, What Did We Learn? (BD)
9:00 am - 9:50 am
WORKSHOP - Succession Planning/Business Continuity Planning (BD/RIA)
10:00 am - 10:50 am
EB-5: U.S. Regulation and Compliance Guidance
10:00 am - 10:50 am
WORKSHOP - Life beyond Compliance! Build/Plan/Test. (BD/RIA)