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 |
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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 |
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8:00 am - 9:00 am | | Networking Breakfast |
8:00 am - 1:00 pm | | Golf 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) |