| 2:00 pm - 2:50 pm | | Technology Tools: Strengthen your Compliance Back Office (General Session) |
| 3:00 pm - 3:50 pm | | Risk Management and CCO Liability (General Session) |
| 4:00 pm - 4:50 pm | | Due Diligence of Third Party Service Providers (RIA) |
| 4:00 pm - 4:50 pm | | Leveraging Resources: Including your FINOP in Management Decisions (BD) |
| 6:00 pm - 7:00 pm | | Poolside Networking |
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| 6:00 am - 6:45 am | | Yoga - Complimentary Private Group Session |
| 7:00 am - 8:00 am | | Networking Breakfast |
| 8:00 am - 8:50 am | | Conference Kickoff and Keynote Address by Andrew J. Donohue (General Session) |
| 9:00 am - 9:50 am | | Cybersecurity: Strengthening Your Defense (General Session) |
| 9:50 am - 10:10 am | | Vendor Networking / Break |
| 10:10 am - 11:00 am | | Advertising Review: Reaching Your Peak Performance (General Session) |
| 11:10 am - 12:00 pm | | Form ADV: A Walk Through New Disclosure Requirements (RIA) |
| 11:10 am - 12:00 pm | | AML: Best Practices and Recent Developments (BD) |
| 12:00 pm - 1:00 pm | | Networking Luncheon |
| 1:00 pm - 1:50 pm | | Disaster Recovery: Shaping a Robust Business Continuity Plan (General Session) |
| 2:00 pm - 2:50 pm | | Custody: Preventing Aches & Pains (RIA) |
| 2:00 pm - 2:50 pm | | E-Communications: Exploring a Dynamic Plan (RIA/BD) |
| 2:50 pm - 3:10 pm | | Vendor Networking / Break |
| 3:10 pm - 4:00 pm | | Preparing for a Regulatory Exam (RIA) |
| 3:10 pm - 4:00 pm | | CCO Perspective: Tales of the Tape Part I (BD) |
| 4:10 pm - 5:00 pm | | Senior Investors: Best Practices and Initiatives (RIA) |
| 4:10 pm - 5:00 pm | | CCO Perspective: Tales of the Tape - Part II (BD) |
| 6:30 pm - 10:00 pm | | Dinner Reception |
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| 7:30 am - 8:30 am | | Networking Breakfast |
| 8:30 am - 9:20 am | | Regulatory Outlook Panel (General Session) |
| 9:30 am - 10:20 am | | DOL and Other Regulations: Where are we headed? (RIA) |
| 9:30 am - 10:20 am | | Managing a Regulatory Exam: A Regulator’s Perspective (BD) |
| 10:20 am - 10:40 am | | Vendor Networking / Break |
| 10:40 am - 11:30 am | | Creating a Culture of Compliance: Internally and with Regulators (General Session) |
| 11:30 am - 12:15 pm | | Networking Luncheon |
| 12:15 pm - 1:00 pm | | Keynote with Jim Reese (General Session) |
| 1:10 pm - 2:00 pm | | Private Markets and Alternative Investments: Advancing Your Strategy (RIA) |
| 1:10 pm - 2:00 pm | | DOL and Other Regulations - Where are we Headed? (BD) |
| 2:10 pm - 3:00 pm | | Managing a Regulatory Exam: A Regulator’s Perspective (RIA) |
| 2:10 pm - 3:00 pm | | Business Transition: Preparing for the Future (BD) |
| 3:10 pm - 4:00 pm | | Branding: Raising the Bar on Your Firm's Regulatory Image |
