Boca 2014
 
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Sunday June 22, 2014 

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

·       Bring a spouse or friend and we will provide special rates for them, contact Sarah Vaira svaira@regulatorycompliance.com

Monday June 23, 2014 

Social and Dinner – 6:30 – 10:00 PM

·       Catch the boat or van shuttle to the Beach Club and enjoy the pool side and ocean breeze

·       Dress is casual, outdoor sit-down plated dinner and social

·       You can come and go as you please with continual bus and boat shuttle service, taxi is available if you are on own schedule

·       Bring a spouse or friend and we will provide special rates for them, contact Sarah Vaira svaira@regulatorycompliance.com

BD Firms RIA Firms

June 22nd, 2014
3:00 pm - 8:00 pmRegistration Open
6:00 pm - 8:00 pmWelcome Reception & Networking
 
June 23rd, 2014
7:00 am - 8:30 amNetworking Breakfast
8:00 am - 8:10 amWelcome and Opening Remarks
8:10 am - 8:50 am
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 amTen Commandments for Avoiding Customer Complaints - Lloyd Schwed
Lloyd R. Schwed, Partner, Schwed Kahle & Kress, PA
10:50 am - 11:05 amBreak - 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 pmNetworking Lunch
12:30 pm - 1:20 pmCyber Security & Data Protection
Eric Hess, Founder and Managing Counsel, Hess Legal Counsel, LLC
1:30 pm - 2:20 pm
3012 Testing - Best Practices (BD)
Beverly Fetcko, Director, Regulatory Compliance, LLC
Evan Ignall, Director, Regulatory Compliance, LLC
Richard Nummi, Managing Director, Nummi & Associates, P.A.
1:30 pm - 2:20 pm
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 pmSocial and Dinner (Beach Club)
 
June 24th, 2014
7:00 am - 8:30 amNetworking 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
9:00 am - 9:50 amKeynote Address: Todd Buchholz
Todd Buchholz, Trend Forecaster / Investor / Author,
10:00 am - 10:50 am
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 amBreak - 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 pmNetworking 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 pmSocial 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
Questions? Call Regulatory Compliance at (603) 434-3594 or email sv@regulatorycompliance.com

Learn more about Regulatory Compliance and our full menu of 
investment adviser compliance and broker dealer compliance consulting services.