Proven-in-Practice Guidance to Keep Your Compliance Program Sharp
Friday, June 7, 2019 | Fairmont Dallas | Dallas, TX
7:30 a.m. – 9:00 a.m.
Registration: Meet Our Exhibitors and Enjoy a Continental Breakfast
9:00 a.m. – 10:00 a.m.
Hot Topics: Ensure You’re Ready for the Big Regulatory Changes Ahead
An ambitious agenda lies before SEC commissioners, which translates into a need to be nimble, and ever-ready for regulatory changes. The list tops with the agency’s three fiduciary duty-related proposals. A re-write of the advertising rule appears in the offing, as are rules governing everything from fund-of-fund arrangements to swaps transactions and more. You receive an exclusive up-to-the minute executive briefing from our panel to ensure you’re ready for what’s coming.
10:00 a.m. – 10:30 a.m.
Refreshment Break in Our Exhibit Hall
10:30 a.m. – 11:15 a.m.
Business Continuity Planning: Lessons Learned from Your Peers
The deadly Carr Fire in California. Hurricane Florence in North California. An Alaska earthquake registering 7.0 on the Richter scale. These catastrophic events last year showed the power of Mother Nature and the need for advisory firms to have their BCP locked down. There are lessons learned aplenty in the wake of these natural disasters, including Hurricane Harvey. Hear real-world best practices from your compliance peers who were forced to implement their firms’ BCP and the SEC’s expectations and findings on advisers’ readiness. Our panel will also address transition and succession planning.
BONUS: Secure a sample BCP, tips on creative ways to test your BCP, disaster planning best practices, and more.
11:15 a.m. – 12:00 p.m.
Answering OCIE’s Call to Better Serve Senior Clients
The drumbeat has sounded for years, and OCIE’s only pounding it louder. Examiners are dedicated to judging how advisers serve their aging clients, especially those at or near retirement or showing signs of dementia. Our panel updates you on what examiners want to see. Gain advice for shaping your compliance P&Ps for this growing clientele. Take home tips to pass along to your staff to help them recognize issues and bring them to your attention before regulatory trouble ensues.
BONUS: Your handouts include tools to help spot the early signs of dementia in clients.
12:00 p.m. – 1:00 p.m.
Lunch: Network with Your Peers
1:00 p.m. – 2:00 p.m.
SEC Examinations and Enforcement: Focus Areas and Timely Prep Tips
The number of SEC-registered investment advisers being examined by the Commission are at historic highs. Being dialed in to current exam focus areas, OCIE’s 2019 exam priorities, and exam prep best practices is of critical importance. Hear the perennial risk areas OCIE is dialed into, new issues surfacing, the six categories bridging OCIE’s priorities, exam sweeps in the offing, tips to improve your readiness, and more.
BONUS: Attendees will receive SEC document request letters, a list of 40 exam prep tips, details on the 30 factors making up OCIE’s risk-profile process, and much more.
2:00 p.m. – 3:00 p.m.
60 Minutes of Nothing but Great Compliance Best Practices
Start your stop watch and pull out your note pad. Our panel of compliance pros shares their favorite best practices – handy tips sure to help you excel. Topics range from best execution to exam prep, social media monitoring to how to ensure your fees are correct. Or feel free to challenge our experts with your most pressing compliance challenge so you’re ensured to go home with the guidance you need.
3:00 p.m. – 3:15 p.m.
Refreshment Break: Network with Your Peers
3:15 p.m. – 4:00 p.m.
Mastering the Advertising Rule in an Age of New Media
It’s on the SEC’s regulatory agenda to revise its advertising rule. But until that happens, you face complying with a nearly 60-year-old rule in the roaring social media age. No worries. Our panel lays out strategies for keeping your firm on the cutting edge without falling off of it. Gain ideas to stay on top of your firm’s marketing and navigate GIPS compliance, too.
BONUS: Your handouts include an example of a checklist to aid your compliance with the advertising rule.
4:00 p.m. – 4:45 p.m.
Cybersecurity: Tried and True Tactics to Counter Ever-Increasing Attacks
Securities firms consistently rate cybersecurity as one of their top operational risks and biggest challenges. Gain insight on the current cyber threat environment for IAs and effective practices to employ for insider threats, penetration testing, mobile devices, phishing attempts, ransomware and more. Hear key cyber tips to implement in an era of ever-increasing attacks, including six top policy recommendations. Our panel will also detail the SEC’s expectations for firms, the cyber questions that come up on exams, what OCIE’s “Cyber 3” initiative looks like, and compliance’s suggested cybersecurity role.
BONUS: Secure sample cyber P&Ps, a data breach incident response plan, examples of cyber tests to employ, and much more.