Golf – Tee
times can be reserved for individual play. Please contact the golf
course.
Welcome and Evening Reception – Be sure to book an early flight on Sunday so you
can attend the reception from 5:00 – 9:00 PM.
After you check into your room, come by the Grand Lawn where the
registration desk will be.
· Dress is casual, outdoor reception
· If it becomes too warm and sunny – you can enter the
hotel lobby and enjoy the view from there
· You might want to bring your sunglasses before the sun
sets
· Enjoy cocktails and appetizers while networking with
colleagues
Compliance & Regulation: Where Are We Headed? John Walsh John H. Walsh, Partner, Sutherland Asbill & Brennan LLP
9:00 am - 9:50 am
9:00 am - 9:50 am
Regulatory Roundtable - FINRA Registered (BD) Jeffrey Pasquerella, Regional Director and Vice President, FINRA, South Region Joseph J Sheirer, Director and Counsel, Membershp Application Program, FINRA Richard D. Marshall, Partner, ROPES & GRAY, LLP Richard Nummi, Managing Director, Nummi & Associates, P.A.
9:00 am - 9:50 am
Regulatory Roundtable - SEC, State Registered (RIA) John H. Walsh, Partner, Sutherland Asbill & Brennan LLP Jeri D Dresner, Senior Special Counsel, US Securities and Exchange Commission, Miami Regional Office Lee Kell, Chief, Bureau of Enforcement, Florida Office of Financial Regulation, Division of Securities
10:00 am - 10:50 am
Ten Commandments for Avoiding Customer Complaints - Lloyd Schwed Lloyd R. Schwed, Partner, Schwed Kahle & Kress, PA
10:50 am - 11:05 am
Break - Meet the Vendors
11:05 am - 11:55 am
Does Your Compliance Program Meet Industry Best Practices? (RIA) Craig Moreshead, Director, Regulatory Compliance, LLC Daniel G. Viola, Partner, Regulatory Defense and Compliance Group, Sadis Goldberg LLP Lance S. Friedler, Corporate and Financial Services Partner, Sadis Goldberg LLP
11:05 am - 11:55 am
Financial Compliance (BD) Philip Dawicki, Director, Regulatory Compliance, LLC Stephen Sussman, CEO, President, Regulatory Compliance, LLC Bob E. Lehman, Partner, Lehman & Eilen LLP
11:05 am - 11:55 am
You've Been Designated CCO of Your BD, What Next? (BD) Laura Crosby-Brown, Director, Regulatory Compliance, LLC David M. Sobel, Esq., EVP / GC / CCO, Abel/Noser Corp.
12:00 pm - 12:30 pm
Networking Lunch
12:30 pm - 1:20 pm
Cyber Security & Data Protection Eric Hess, Founder and Managing Counsel, Hess Legal Counsel, LLC
SEC 206(4)-7 Testing - Best Practices (RIA) Walter Costenbader, Compliance Consultant, FINOP, Regulatory Compliance, LLC Daniel G. Viola, Partner, Regulatory Defense and Compliance Group, Sadis Goldberg LLP Jeri D Dresner, Senior Special Counsel, US Securities and Exchange Commission, Miami Regional Office
2:30 pm - 3:20 pm
Due Diligence on Private Offerings and Vendors (BD) Laura Crosby-Brown, Director, Regulatory Compliance, LLC Ken Merlo, Chief Compliance Officer, Pex Global, Proseed Securities
2:30 pm - 3:20 pm
You Have Custody and You Don't Even Know It (RIA) Eric Hess, Founder and Managing Counsel, Hess Legal Counsel, LLC Lori Weston, IACCP®, Senior Investment Adviser Consultant, Regulatory Compliance, LLC
3:30 pm - 4:20 pm
3:30 pm - 4:20 pm
Build Your Compliance Calendar (WORKSHOP) (BD/RIA) Beverly Fetcko, Director, Regulatory Compliance, LLC Richard Nummi, Managing Director, Nummi & Associates, P.A.
3:30 pm - 4:20 pm
Disaster Strikes - Are You Prepared? (BD/RIA) Ken Merlo, Chief Compliance Officer, Pex Global, Proseed Securities Roger L. Shaffer, Managing Director, INTL FCStone Securities Inc. - Correspondent Clearing Evan Ignall, Director, Regulatory Compliance, LLC
6:30 pm - 10:30 pm
Social and Dinner (Beach Club)
June 24th, 2014
7:00 am - 8:30 am
Networking Breakfast
8:00 am - 8:50 am
Best Execution Review: Yes, This Does Mean You! (RIA) David M. Sobel, Esq., EVP / GC / CCO, Abel/Noser Corp.
8:00 am - 8:50 am
Preparing Your Broker-Dealer for the NEW Annual Audit (BD) Philip Dawicki, Director, Regulatory Compliance, LLC Joseph DeMarco, CPA, Partner, DeMarco Sciaccotta Wilkens and Dunleavy Stephen Sussman, CEO, President, Regulatory Compliance, LLC
Reducing Risk Through Form ADV Disclosure (RIA) Lori Weston, IACCP®, Senior Investment Adviser Consultant, Regulatory Compliance, LLC Eric Hess, Founder and Managing Counsel, Hess Legal Counsel, LLC
10:00 am - 10:50 am
What to Expect From FINRA and States: BD Examination Guidelines (BD) Beverly Fetcko, Director, Regulatory Compliance, LLC Richard Nummi, Managing Director, Nummi & Associates, P.A. Jeffrey Pasquerella, Regional Director and Vice President, FINRA, South Region
10:50 am - 11:05 am
Break - Meet the Vendors
11:05 am - 11:55 am
Don't Be Conflicted: OBA, Pay to Play, Gifts, Private Securities Transactions (BD/RIA) Craig Moreshead, Director, Regulatory Compliance, LLC Tracey Straub, Managing Director, Compliance11, Inc. of The Charles Schwab Corporation Lance S. Friedler, Corporate and Financial Services Partner, Sadis Goldberg LLP
11:05 am - 11:55 am
Has Your BD Made Material Business Changes? (BD) Evan Ignall, Director, Regulatory Compliance, LLC Lisa Sussman, Compliance Consultant, Regulatory Compliance, LLC Joseph J Sheirer, Director and Counsel, Membershp Application Program, FINRA
12:00 pm - 12:50 pm
Networking Lunch
12:50 pm - 1:40 pm
Decoding the JOBS Act (BD/RIA) Richard D. Marshall, Partner, ROPES & GRAY, LLP
12:50 pm - 1:40 pm
What's in Your Compliance Manual (RIA) Walter Costenbader, Compliance Consultant, FINOP, Regulatory Compliance, LLC Daniel G. Viola, Partner, Regulatory Defense and Compliance Group, Sadis Goldberg LLP Lori Weston, IACCP®, Senior Investment Adviser Consultant, Regulatory Compliance, LLC
1:50 pm - 2:40 pm
E&O, D&O, EPL, GL, Fiduciary, Crime and Bonding: What Is the Difference and Why Should You Care? (BD/RIA) Gary Sutherland, Chief Executive Officer, North American Professional Liability Insurance Agency, LLC Paul Smith, VP Investment Adviser Division, North American Professional Liability Insurance Agency, LLC
1:50 pm - 2:40 pm
Social Media: Compliance and Environment (BD/RIA) Laura Crosby-Brown, Director, Regulatory Compliance, LLC James Douglas, Director of Alliances and Industry Relations, SMARSH Craig Moreshead, Director, Regulatory Compliance, LLC
2:50 pm - 3:40 pm
2:50 pm - 3:40 pm
Advertising: Test your Review Skills (WORKSHOP) (BD/RIA) Laura Crosby-Brown, Director, Regulatory Compliance, LLC Craig Moreshead, Director, Regulatory Compliance, LLC
2:50 pm - 3:40 pm
Retirement Plans: Everything You Need to Know About ERISA Compliance (BD/RIA) Rebecca Kaplan, Esq., Fiduciary Compliance Consultant, Angell Pension Group, Inc. Lori Weston, IACCP®, Senior Investment Adviser Consultant, Regulatory Compliance, LLC