Join SEC representatives and industry experts for a 2-day conference filled with best practices for preventing regulatory fines. You will come away from this conference armed with tools designed for you specific compliance needs.

Editorially backed by RCW (Regulatory Compliance Watch) – the leading source for authoritative answers to your toughest IA, BD, CPO/CTA & Private Fund compliance questions – this event provides you with  strategies and procedures you need to best prepare for and meet the SEC exam priorities and risk alerts as well as develop a robust compliance program.

.....

What the 2020 conference has to offer

Post-Workshop – SEC Exam Preparation (extra charge $395) – Designed for compliance and financial-reporting professionals like yourself, this interactive, in-depth workshop will help you gain insights on how to best prepare for a SEC Exam.

Chief Compliance Officer Think-Tank (Invite Only) – exchange strategies and best practices to rejuvenate your compliance programs in an intimate setting.

Networking Roundtables 

Participate in an exchange of lessons learned & best practices on the compliance issue of your choice. Choose from: developing a training program; fees and expenses/cash solicitation; working with senior clients; and overcoming the challenges women face.

2020 Speakers

View all speakers
View all speakers

WHO ATTENDS

– CCOs / Compliance Officers

– In-House Legal and Compliance Personnel

– General Counsels & Outside Counsels

– Senior Officers and Executives

– Principals

– CFOs

– CEOs and Presidents

– Chief Information Security Officers

– CTOs and IT Directors

– Directors of Operation

– Senior VPs

 

 

TOP REASONS TO ATTEND

– Hear directly from SEC officials

– Gain best practices to improve your compliance program

– Be aware of hot compliance issues coming your way

– Earn up to 13.5 CLE/CPE credits for the Main Conference and Post-Conference Workshop

– Find answers to your toughest compliance challenges

– Go home with RCW’s exclusive compliance toolkit including checklists, worksheets, templates, P&Ps and much more

– Pose your most penetrating questions to industry experts and take home proven exam-prep tips

– Two-days packed with sessions covering SEC exams, fiduciary duty/best interest rule, cybersecurity, advertising & social media, business continuity planning, a regulatory update, and more

SEE WHAT OUR ATTENDEES HAVE TO SAY

Diane Miller,

Chief Financial Officer, Christian Brothers Investment Services

The conference topics were both interesting and useful. The day flew by and I have lots of useful ideas to bring back!

Dennis W. Lloyd,

Founder & President, Columbia Capital Management

The level of expertise of the panelists was impressive!

Diane Cortese,

Assistant Director of Compliance, Principal Global Investors

The panel setting worked well and encouraged good dialogue. Lots of real world examples provided. This conference was very helpful and informative!

Current & Past Attending Companies Include:

57 Stars LLC
Aetna Asset Advisors LLC
BCBSM, Inc.
Bridgewater Associates LP
Carousel Capital
Columbia Capital Mgmt.
Compton Wealth Advisory Group
Dziura Compliance Consulting
Elleverage Inc.
Financial Coach
Franklin Templeton Investment
HCI Equity Partners
Integrated Financial Group
Inverness Graham Investments
Island Capital Group LLC
LeGaye Law Firm P.C.
Logan Circle Partners, L.P.
Lovell Minnick Partners LLC
Madison International Realty
Massey Quick Simon & Co.
McDonnell Investment Management
Money Managers Advisory
MPM Wealth Advisors
National Investment Services
Redwood Investments
Rothchild Capital Partners
S & T Bank
Scout Investment Advisors
Summit Financial Consultants
SunTrust Advisory Services
US Asset Management
Valley View Consulting
VIP Capital Management
Waldron Private Wealth
Wingate Wealth Advisors
Day 1 Day 2
View agenda page

Agenda

Day 1 - Wednesday 4th

Day 1
07:30 - 08:25

Registration: Meet our exhibitors and enjoy a breakfast

07:30 - 08:25

CCO-Only Think Tank (invite-only)

 

08:25 - 08:30

Chairman welcome by Hugh Kennedy

Hugh Kennedy
Group Publisher
Regulatory Compliance Watch
10:00 - 09:00

Keynote Address by the SEC

  • The current focus areas of the National Exam Program
  • The most common deficiencies found and how to avoid them
  • Common practices that yield results with exam staff
  • How OCIE and compliance can work together
  • A preview of the SEC’s priorities for the coming year
09:00 - 11:30

Ensure you are aware and ready for upcoming regulatory changes

Hugh Kennedy
Group Publisher
Regulatory Compliance Watch

The coronavirus may have slowed SEC rulemaking and forced the Commission to focus on near-term regulatory relief, but the rulemaking calendar is sure to ramp up again.  Our panel will tackle the hot issues of the day, from the lessons learned from operating under Reg BI and Form CRS for four months to the current status of the long-awaited changes to the Advertising rule.  Gain a sense of what is coming down the pike that will impact your compliance program going forward.

10:00 - 10:30

Networking break

10:30 - 11:30

Business Continuity Planning: How has compliance adapted to the Covid-19 reality

An emergency can throw a wrench into your firm’s daily business operations at a moment’s notice.  A stellar Business Continuity Plan will be key in aiding your preparedness.  To help, our panel will address:

  • Real-life disaster stories straight from your peers and the lessons they learned along the way
  • The importance of plan testing:
    • Does your plan go far enough?
    • Proven ways to thoroughly test your plan
    • Who in your firm should be involved in testing
  • New P&Ps put in place to respond to a pandemic
  • How firms have adapted to the WFH environment
  • OCIE’s focus on BCPs and what examiners expect to see
11:30 - 12:30

Lessons learned and the most important takeaways since their implementation

Form CRS and Regulation Best Interest officially kicked in on June 30 and it took some work to come into compliance.  Our panel will explore any difficulties encountered in implementation, what’s working and what’s not, lessons learned and what might be changed going forward.  The panel will also address:

  • OCIE and FINRA’s current exam focus (is a “good faith” effort truly enough?)
  • Some of the hallmarks of disclosure(e.g.,“plain-English”)
  • The compliance controls that have been implicated by Reg BI and Form CRS
  • What firms should be cognizant of to remain in compliance
  • Potential enforcement concerns that may arise
12:30 - 13:00

Networking Lunch

13:30 - 14:30

Breakout Session: Strategies for effectively identifying, disclosing, and mitigating conflicts of interest

Conflicts of interest come in many shapes and sizes and are not always easy to spot. You will leave this session with the tools you need to effectively identify, disclose, and mitigate your firm’s conflicts.  Our panel will detail:

  • Common conflicts related to advisory activities
  • How to inventory and risk-rank material conflicts of interest
  • Practical training pointers to highlight and mitigate conflicts for your firm
  • How you should disclose conflicts on your Form ADV
  • Best practices contained in conflicts P&Ps
  • Recommendations for tracking employees’ gifts and entertainment, personal trading, outside business activities, and political contributions
13:30 - 14:30

Breakout Session: Understanding what can trigger a custody status

The custody rule is complex and comes with a patchwork of regulator FAQs that can be daunting to digest.  You will leave this session with best practices and resources to clarify your understanding of the custody rule.  We will help demystify custody by reviewing:

 

  • What does and does not constitute custody
  • How you can best handle “inadvertent” custody
  • Peer-proven best practices to ensure you are compliant
  • What variables you should consider in reviewing your firm’s P&Ps
  • What processes you should have in place to be prepared for your annual surprise exam
  • Custody issues that came up on recent OCIE examinations
14:30 - 15:00

Post-election briefing: What does the election result mean for the industry

No one can deny the potentially profound consequences of the election outcome on the industry. During this panel’s discussion, we will examine the implications as well as potential course of action the industry may take as it looks to the future. Additionally, we will analyze what the result may mean for the rulemaking efforts of the SEC, FINRA, and other regulators.

15:00 - 15:30

Networking break

15:30 - 16:15

Examining ways to ease your compliance burdens through technology

As the amount of responsibilities under Compliance’s domain continues to grow, it is increasingly important to operate with a system that is as precise, organized, and effective as possible to promote cost-saving.  Oftentimes, this means automating processes wherever possible.  You will leave this session with a guide on how to identify functions ripe for automation that will make your compliance program run as smoothly and efficiently as possible.  Our panel will review:

  • How technology can help you manage and monitor your firm’s electronic communications, trade surveillance, document management, COE, investment restrictions, and case management
  • How you can find a balance between manual and automated compliance that will minimize error and maximize effectiveness
  • What you need to consider when vetting research automation tools
  • How you can test your automation tools
  • Some recommended technology resources utilized by your peers
16:15 - 17:15

Best practices from your peers

During these unique roundtable discussions, you will have an opportunity to sit down with your peers and participate in an exchange of lessons learned and best practices on the compliance issue of your choice. Choose from the following:

 

  • Developing a training program
  • Fees and expenses/cash solicitation
  • Working with senior clients
  • Overcoming the challenges women face in compliance
17:15 - 18:15

Cocktail Reception

Agenda

Day 2 - Thursday 5th

Day 2
07:45 - 08:25

Breakfast

08:25 - 08:30

Welcome back from Hugh Kennedy

Hugh Kennedy
Group Publisher
Regulatory Compliance Watch
08:30 - 09:30

SEC Keynote & Super Session

  • Suggested steps you can take throughout the year to increase your exam preparedness
  • Which documents are most often included in an OCIE document request list
  • The importance of an open dialogue with exam staff
  • Who in your firm should be involved in the Day 1 presentation and throughout the exam process
  • How to respond to your firm’s deficiency letter in a meaningful way
09:30 - 10:30

Analyzing the current proposal/rule and what you need to do now to remain compliant

Not since the 1960s has the SEC’s Advertising and Marketing rule been amended and everyone agrees it is high time for an update.  The Commission stepped up and proposed a new rule exactly one year before the start of this conference.  The panel will address the current status of the rule and provide critical insight on what’s changed, what’s new, and when you have to come into compliance.  Covered will be such items as:

  • How the definition of an “advertisement” has changed
  • How no-action letters and broad provisions of the Advisers Act will be replaced
  • The details on new advertising prohibitions
  • Whether testimonials and endorsement are permitted
  • The new requirement for performance information
  • How social media and advertising practices of today are addressed
  • Governance considerations you should be addressing
  • The timing of a compliance deadline
10:30 - 10:45

Refreshment Break

10:45 - 11:30

Being a part of the business: How does compliance continue to show value and be an integral team member

A disconnect between a CCO and the rest of the C-suite could result in a firm being unprepared for a potential crisis. Leave the discussion with action items that will bridge the gap between your firm’s CCO and C-suite in a way that fosters your firm’s compliance.  The panel will cover such items as:

  • How to present your compliance program in a way that conveys the critical role it plays in your firm’s overall success
  • How you can lead a compliance program that promotes an open line of communication with all staff
  • The most effective ways to report your annual review/compliance violations to senior management
  • How to make sure your firm displays a compliance “tone at the top”
  • How best to handle wearing multiple hats
11:30 - 12:30

Practical pointers for maintaining a robust cybersecurity compliance program

Cybersecurity is often cited as SEC-registered investment advisers’ #1 challenge.  While the SEC fully understands that CCOs aren’t necessarily tech savvy, the Commission does expect compliance professionals to understand the risks posed to their firms and to develop P&Ps to mitigate those risks.  This session will give you the tools to create not only robust cyber P&Ps but also a thorough cyber vendor management process that you can apply to managing your other vendors as well.

 

The main points of discussion will include:

 

  • Current cyber trends to be aware of that are impacting the financial services industry
  • How the SEC is examining for cyber readiness
  • What the Commission’s expectation is for compliance
  • The main elements that should comprise your vendor management process
12:30 - 13:30

Lunch and Closing Remarks

13:30 - 13:30

Conference Ends

SEC EXAM PREPARATION WORKSHOP
13:45 - 14:45

Before examiners arrive

14:45 - 15:45

During the exam

15:45 - 16:00

Refreshment break

16:00 - 17:00

After the exam

 

2020 Post-Workshop Coming Soon

For speaking opportunities, please contact:
Alma Subasic | Conference Producer | T: 646-356-4521 | E: alma.s@peimedia.com


 

For speaking opportunities, please contact:
Alma Subasic | Conference Producer | T: 646-356-4521 | E: alma.s@peimedia.com

 

Christopher Casdia

Chief Compliance Officer, Homrich Berg Wealth Management

Chris joined Homrich Berg, a Registered Investment Adviser, in 2008 as its Chief Compliance Officer. In this role, he is responsible for overseeing the Compliance Program and leading the Risk Management function. Chris has over twenty years of experi… Read full bio

Mario Chilin

Chief Compliance Officer, EP Wealth Advisors, LLC

Mario Chilin CCEP®, CSCP®, is a Certified Compliance and Ethics Professional and a Certified Securities Compliance Professional. Mario is the Chief Compliance Officer at EP Wealth Advisors, LLC a holisitc Investment Management and Financial Planning… Read full bio
Jennifer Duggins SEC

Jennifer Duggins

Assistant Director, Co-Head Private Funds Unit, U.S. Securities and Exchange Commission

Jennifer A. Duggins, IACCP® is Assistant Director and Co-Head of the Private Funds Unit within the SEC’s Office of Compliance Inspections and Examinations. Prior to joining the SEC, Jennifer was a Director in Regulatory Risk Consulting within the Adv… Read full bio

Beverly Duke

Chief Compliance Officer, Markston International LLC

Coming soon..

Cynthia Friedlander

Senior Director - Fixed Income Regulation, FINRA

Cynthia Friedlander is Senior Director, Fixed Income Regulation. Ms. Friedlander is responsible for directing FINRA’s policies and national programs related to fixed income securities, including related regulatory matters in FINRA’s Member Supervisio… Read full bio

Matt Helfrich

Partner and President, Waldron Private Wealth

Matthew A. Helfrich, CFP® Partner and President Waldron Private Wealth Matthew Helfrich is a Partner and President of Waldron Private Wealth where he leads Waldron’s strategic vision, brand and value proposition, and overall culture of the firm. His… Read full bio

Margaret Iamunno

Chief Compliance Officer, GM Advisory Group

Margaret Iamunno is the Chief Compliance Officer of GM Advisory Group. Margaret has over sixteen years of experience building out resilient and adaptable business, operational, and compliance strategies. Prior to joining GMAG Margaret held a range of… Read full bio

Kent Keister

Director of Compliance, Budros Ruhlin Roe

Kent Keister serves as the Director of Compliance for Budros, Ruhlin & Roe, an independent, fee-only wealth management firm, based in Columbus, Ohio. Founded in 1979, the company currently manages approximately $2.7B of client assets. Kent is res… Read full bio

Debra Konieczny, IACCP

Chief Compliance Officer, Capital Advisors Inc.

Debra Konieczny is the Chief Compliance Officer for Capital Advisors, Inc. based in Tulsa, Oklahoma. Capital was established in 1978 and today manages approximately 2.7 billion dollars in assets under management. Debbie has more than 30 years of expe… Read full bio

Matt Lovett

Chief Compliance Officer, Brookstone Capital Management

Matt has over nineteen years of comprehensive compliance experience having served in several positions including CCO for both broker-dealers and Registered Investment Advisors. He was responsible for overseeing all aspects of compliance for over 400… Read full bio

Joseph McGIll

Partner, Chief Compliance Officer, Lord Abbett

Joseph McGill is responsible for all of Lord Abbett’s compliance advice, monitoring, and testing in accordance with relevant U.S. federal and state regulatory agencies. Mr. McGill also serves on the firm’s Enterprise Risk Management Committee. Mr. Mc… Read full bio

William Nelson, J.D., LL.M.

Chief Compliance Officer, Mercer Advisors

As Chief Compliance Officer, William serves as an executive officer providing legal and regulatory guidance on all issues related to SEC, FINRA, and DOL rules and regulations including the Investment Advisers Act of 1940, Securities Act of 1933, as w… Read full bio

Brent Nicks

Chief Compliance Officer, Goss Advisors

Brent P. Nicks joined Goss Advisors, a New Orleans based registered investment advisor managing approximately $6.5 billion in assets, in 2018 as their Chief Compliance Officer. Prior to his role with Goss, he served as the Chief Compliance Officer fo… Read full bio

Jennifer E. Papadopolo

Partner and Chief Operating Officer, RegentAtlantic

Jennifer is Chief Operating Officer and Partner of RegentAtlantic, overseeing human resources, compliance, technology, financial and legal operations. She is a member of the Management Team. An honors graduate from the College of St. Elizabeth, Jenni… Read full bio

Mitzie Pierre

Chief Compliance Officer, IFM Investors

Mitzie Pierre, Chief Compliance Officer, US and Canada. Ms. Pierre joined IFM Investors in January 2017. She is responsible for IFM Investors’ compliance and regulatory obligations in North America. Prior to joining IFM Investors, Ms. Pierre was Assi… Read full bio

Matthew Rothchild

Compliance Officer, EFS Advisors

In the role of Compliance Officer, Rothchild has overseen and executed every detail of the compliance and supervisory program for EFS Advisors, a hybrid broker/dealer and investment advisory firm in Cambridge, MN. Prior to joining EFS Advisors, Rothc… Read full bio

Emily Rowland

Senior Counsel, U.S. Securities and Exchange Commission

Emily Rowland is a Senior Counsel in the Investment Adviser Regulation Office within the Division of Investment Management at the SEC. This office is responsible for investment adviser rulemaking and guidance. Since joining the SEC she has been invol… Read full bio

Charlton Rugg

Chief Compliance, Legal, and Technology Officer, Obermeyer Wood Investment Counsel

Charlton directs all compliance and technology programs for Obermeyer Wood Investment Counsel, a Denver and Aspen, Colorado-based registered investment advisor with $1.5 billion in assets under management. With his extensive experience in securities… Read full bio

Michael Snyder

Chief Compliance Officer, Beaumont Financial Partners, LLC

Michael Snyder, IACCP® – Chief Compliance Officer at Beaumont Financial Partners, LLC. Michael is the Chief Compliance Officer at Beaumont Financial Partners, LLC., an SEC registered investment adviser outside of Boston, MA. Michael is responsible fo… Read full bio

Maurizio Tallini

Chief Compliance Officer, Domini Impact Investment LLC

Maurizio Tallini has been Chief Compliance Officer of Domini Impact Investments and the Domini Funds since 2005. In his capacity as CCO, Mr. Tallini is an active member of senior management and is responsible for developing and administering Domini’s… Read full bio

Steven Trigili

Chief Compliance Officer, AMLCO of Garden State Securities, Inc. and Garden State Investment Advisory Services, LLC

Steven D. Trigili, MBA, CAMS is the Chief Compliance Officer and AMLCO of Garden State Securities, Inc., and Garden State Investment Advisory Services, LLC an independent broker/dealer and SEC-registered investment advisor. Steve has 28 years of expe… Read full bio
View all speakers

2020 Advisory Board Coming Soon

For speaking opportunities, please contact:
Alma Subasic | Conference Producer | T: 646-356-4521 | E: alma.s@peimedia.com

VENUE

Crowne Plaza Times Square
1605 Broadway (at W. 49th Street)
New York, NY 10019
Hotel Phone: (212) 977-4000
——————————————————-

We’ve reserved a limited number of rooms at The Crowne Plaza Times Square for a special discounted rate of $259.00 + tax (single/double per night). Click Here to make your reservation online. Cut-off Date: Thursday, October 15, 2020.

If you would like to call the hotel to secure your reservation, please call: (212) 977-4000 and reference: RCW Conference to ensure you receive your special $259.00 room rate.

Only reservations made by Thursday, October 15, 2020 or prior to the sell-out of the room block can be confirmed at the group rate.

The Crowne Plaza - Times Square


Satisfy your annual CLE/CPE requirements at
RCW: The Full 360° Compliance View Conference!

We are a national CLE/CPE provider.  Check back with us to see how many CLE/CPE credits will be offered at this year’s RCW Conference. A focused approach to continuing education is vital to your firm in a year marked by an abundance of new SEC initiatives.

PEI Media Group, the parent company of RCW: The Full 360° Compliance Watch Conference, which is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry for CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, website: www.nasba.org. If you have any questions regarding CLE/CPE credits, please do not hesitate to contact our Conference Manager, Jennifer Yelverton  at 646-356-4504 or jennifer.y@peimedia.com

Partners & Solutions Providers

Become a partner of RCW: The Full 360° Compliance View and meet compliance professionals hungry for your solutions!

For more information on exhibiting or sponsorship possibilities, please contact:
Jimmy Kurtovic, Business Development Manager
(646) 795-3273
jimmy.k@peimedia.com

Showcase Your Company

RCW: The Full 360° Compliance View Conference offers attendees who come to learn and talk to exhibitors about what you can do for them. You will find yourself surrounded by the top advisory industry compliance and IT professionals hungry for your solutions.

Our attendees come to learn and talk to exhibitors about what you can do for them. You will find yourself surrounded by the top advisory industry compliance professionals hungry for your solutions.

Host Publication:

Current & Past Sponsors Include:

SPONSOR BENEFITS: Brand Exposure. Thought Leadership. Networking. Lead Generation.
AGIO
Alaric Compliance Services
BasisCode Compliance
Charles Schwab
Chicago Clearing Corporation
Cipperman Compliance Services
Compliance Risk Concepts
Core Compliance & Legal Services
Fairview Investment Services
Gordian Compliance Solutions
Global Relay
Midland Custody Solutions
Orion
RRS
TD Ameritrade
Vigilant
Winquest
ZIX

RCW: The Full 360° Compliance View Team

SPEAKING OPPORTUNITIES
Alma Subasic | Conference Producer | T: 646-356-4521 | Ealma.s@peimedia.com

SPONSOR & EXHIBIT OPPORTUNITIES
Jimmy Kurtovic | Business Development Manager | T: 646-795-3273 | E: jimmy.k@peimedia.com

MEDIA PARTNERSHIPS, PRESS & GENERAL  MARKETING OPPORTUNITIES
Pooja Kaul | Associate Conference Marketing Manager | T:  646-356-4526 | E:  pooja.k@peimedia.com