Conference Rescheduling Notice:

PEI Media has been working with our teams, clients and suppliers to monitor the impact of the Novel Coronavirus (COVID-19) outbreak. As part of this review, we have made the very difficult decision to reschedule the RCW: The Full 360 Compliance View Forum (scheduled for May 7-8, 2020) until 2021. The new 2021 dates to be announced soon.                

We apologize for any inconvenience caused, but as always, the safety and health of our participants, community and staff are our priority and we feel this is the best option. 

Regulatory Compliance Watch will be hosting an alternative conference: RCW: The Full 360 Compliance View Forum on November 4-5, 2020 at the Crowne Plaza in Time Square, NY. Click here

If you have any questions, please contact regny@peimedia.com

To view our terms and conditions, click here.


 

SEC-registered investment advisers are being examined in historical numbers! Recently, enforcement actions against IAs have risen by 32%, there’s been a revamp of the Commission’s advertising rules and there are new cyber security expectations for compliance. Additionally, there has been a new laser focus on senior clients and a three part fiduciary duty rule making proposal under consideration. As trends and standards develop, IA Compliance professionals are being dominated by regulations.

Join your peers at RCW: The Full 360° Compliance View where you will come away with practical guidance to increase engagement in regulatory and compliance practices. We will examine the strategies and procedures that you can employ to best prepare for and meet SEC exam priorities and risk alerts.

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 CCOs, general counsels, attorneys, and compliance executives the latest SEC updates as well as insightful and practical solutions for you and your compliance team.

 

THE CONFERENCE GIVES YOU ACCESS TO:

Invite-Only
CCO Think-Tank

A collaborative exchange of strategies and best practices that will give you the opportunity to access perspectives to rejuvenate your compliance program

 

Compliance Toolbox
An exclusive treasure trove of tools & resources including dozens of compliance templates, checklists, sample policies, P&Ps & other documents giving you the framework and direction to help keep your program sharp

Peer-to-Peer Networking
Join hundreds of compliance professionals & industry experts as they gather to share new ideas, hear about trends to help you keep abreast of what’s happening in the industry & gain insight into what regulatory changes are coming next

A More interactive App
Allows you to better interact with your peers and follow up with your new connections long after the event, as well as access any PDFs or slides you may wish to share from the sessions to aid your learning

By bringing together industry professionals to share their common challenges, new solutions are created that help to transform workplace culture to ensure that company reputations remain intact. In attending, you can ensure that your compliance programs are up-to-date and continue to evolve to meet current and future regulatory expectations.

 

RCW: The Full 360° Compliance View is a highly regarded market expert and it is backed by a revered editorial team. Editorial relationships with key figures at the SEC have translated into strong involvement by the SEC in events.

Speakers

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View all speakers

NEW THIS YEAR!

  • Post Workshop – SEC Exam Preparation (extra charge $395) – Designed for compliance & financial reporting professionals like yourself, this interactive, in-depth workshop will help you gain insight on how to best prepare for a SEC Exam.
  • Chief Compliance Officer Think-Tank (Invite Only)to exchange strategies and best-practices to rejuvenate your compliance program
  • 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; cybersecurity; liquidity risk management; new SEC guidance on oversight of proxy advisory firms and proxy voting; working with senior clients; and overcoming the challenges women face in compliance
  • Brand New Advisory Board – ensuring the quality & integrity of the Forum by helping to support speaker recruitment and guiding the curriculum development
  • New and Improved Conference App – allowing you to better interact with your peers as well as access all PDFs or slides you wish to share from the sessions

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
  • 2-days packed with sessions covering SEC exams, fiduciary duty/best interest rule, cybersecurity, advertising & social media, business continuity planning, a regulatory update, and more
  • Peer-to-peer networking offering opportunities to thought-share with our industry experts & your fellow compliance peers
  • Earn 10.5 CLE/CPE credits for the Main Conference
  • Earn 3 CLE/CPE credits for Post-Workshop
  • Take home proven exam-prep tips
  • Find answers to your toughest compliance challenges
  • Go home with RCW’s exclusive compliance toolkit including checklists, worksheets, templates, P&Ps and much more
  • Test your approaches against some of the country’s savviest compliance officers
  • Pose your most penetrating questions to industry experts
  • A chance to hear from leading industry vendors looking to assist you with your greatest compliance challenges

Download the 2020 Brochure :

  • Featured Speakers

  • Advisory Board

  • Full Agenda

  • SEC Exam Preparation Workshop

  • Hotel Logistics

SEC EXAM PREPARATION WORKSHOP

We know that preparation is key to a successful SEC Exam and that’s why we’re here to help. Join Mario Chilin, Chad Earnst, Matt Lovett, and Michael Snyder among other industry leaders for this 3 hour program designed for compliance & financial reporting professionals like you. With their years of expertise in the industry, you will gain insight on how to best prepare for a SEC Exam. Not only will you be better prepared for your exam, but you can earn up to 3 CLE/CPE Credits!

Mario Chilin

Chief Compliance Officer 

EP Wealth Advisors, LLC

Chad Earnst

Global Head of Compliance 

PGIM

Matt Lovett

Chief Compliance Officer

Brookstone Capital Management

Michael Snyder

Chief Compliance Officer

Beaumont Financial Partnersment

Who Should Attend

  • 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

Check Out Highlights & Testimonials from Last Year’s Event



SEE WHAT OUR ATTENDEES HAVE TO SAY

Francis Skinner

Chief Legal Officer/CCO, Coastal Investment Advisors

Great subject matter and opportunities to speak with peers.

Jon DeKlerk

COO, PEM, LLC

The panelists were very good. The moderators were excellent.

Jocelyn Dalkin

Assistant VP, Cipperman Compliance Services, LLC

The topics were very relevant to what is going on today and appealed to the general audience. In general, the speakers were articulate, knowledgeable and person…

Read full testimonial

**Agenda Subject to Change**

Day 1 Day 2
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Agenda

Day 1 - Thursday 7th

Regulatory Compliance Watch: The Full 360° Compliance View
07:30 - 08:25

Registration: Meet our Exhibitors and Enjoy Breakfast

07:30 - 08:25

CCO-Only Think Tank

As a CCO, you often face the challenges and obstacles that come with managing your firm’s compliance alone.  Luckily, we have gathered an invitation-only, close-door room of your peers.  We welcome you to participate in a collaborative exchange of strategies and best practices that will give you the opportunity to access perspectives to rejuvenate your compliance program. (Invite-only)

08:25 - 08:30

Chairman Welcome by Hugh Kennedy

Hugh Kennedy
A speaker photo for Hugh Kennedy

Hugh Kennedy

Group Publisher, Regulatory Compliance Watch

Read bio
08:30 - 09:00

Hot Topics: Ensure You Are Ready for Upcoming Regulatory Changes

Hugh Kennedy, Mario Chilin, Joseph McGIll, William Nelson, J.D., LL.M., Jennifer E. Papadopolo

As a CCO, you often face the challenges and obstacles that come with managing your firm’s compliance alone.  Luckily, we have gathered an invitation-only, close-door room of your peers.  We welcome you to participate in a collaborative exchange of strategies and best practices that will give you the opportunity to access perspectives to rejuvenate your compliance program.

Moderator:
Hugh Kennedy, Group Publisher, Regulatory Compliance Watch

Panelists:
Mario Chilin, Chief Compliance Officer, EP Wealth Advisors, LLC
Joseph McGill, Partner, Chief Compliance Officer, Lord Abbett
William Nelson, J.D., LL.M., Chief Compliance Officer, Mercer Advisors
Jennifer E. Papadopolo, Partner and Chief Operating Officer, RegentAtlantic

A speaker photo for Hugh Kennedy

Hugh Kennedy

Group Publisher, Regulatory Compliance Watch

Read bio
A speaker photo for Mario Chilin

Mario Chilin

Chief Compliance Officer, EP Wealth Advisors, LLC

Read bio
A speaker photo for Joseph McGIll

Joseph McGIll

Partner, Chief Compliance Officer, Lord Abbett

Read bio
A speaker photo for William Nelson, J.D., LL.M.

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

Chief Compliance Officer, Mercer Advisors

Read bio
A speaker photo for Jennifer E. Papadopolo

Jennifer E. Papadopolo

Partner and Chief Operating Officer, RegentAtlantic

Read bio
09:00 - 10:00

Fiduciary Duty & Best Interest Rule

Robert Rabinowitz, Jim Hooks, Debra Konieczny, IACCP

The new regulation best interest rule deadline is around the corner.  Here’s what you need to know:

  • Form CRS – what disclosures should be made and how?
  • What is the implication of compliance controls with this new regulation?
  • How should you demonstrate your fiduciary responsibilities (for investors, regulators, and financial advisors)?
  • How should firms’ evidence that their recommendations are in the client’s best interest?
    • Use of documentation, CRM systems, surveillance efforts, testing and otherwise

You will leave our panel with a checklist of what should be included in your Form CRS and the ways you can revamp your compliance program to incorporate the new best interest rule.

Moderator:
Robert I. Rabinowitz, Shareholder, Becker & Poliakoff

Panelists:
Jim Hooks, Executive Vice President, Chief Compliance Officer, Private Advisor Group, LLC
Debra Konieczny, Chief Compliance Officer, Capital Advisors Inc.
Rachel Loko, Senior Counsel, U.S. Securities and Exchange Commission

A speaker photo for Robert Rabinowitz

Robert Rabinowitz

Shareholder, Becker & Poliakoff

Read bio
A speaker photo for Jim Hooks

Jim Hooks

Executive Vice President, Chief Compliance Officer, Private Advisor Group, LLC

Read bio
A speaker photo for Debra Konieczny, IACCP

Debra Konieczny, IACCP

Chief Compliance Officer, Capital Advisors Inc.

Read bio
10:00 - 10:30

Networking Break

10:30 - 11:30

Pay-to-Play in an Election Year

Mike Phillips, Beverly Duke, Cynthia Friedlander, Peter Golotko, Matthew Rothchild

With the upcoming Presidential election around the corner, campaign season is in full swing.  Review your firm’s pay-to-play, gifts and entertainment, and code of ethics policies now to help avoid future violations.  We will review:

  • Current rules and lessons learned from enforcement actions
  • Being cognizant of state or municipal level rules, which could be more restrictive
  • How can you train employees?
  • What are best practices to monitor your firm for potential violations?

You will leave with a refresher on what you need to do to monitor your staff and keep your staff from violating.

Moderator:
Mike Phillips,
Chief Executive Officer, Vigilant

Panelists:
Beverly Duke,
Chief Compliance Officer, Markston International LLC
Cynthia Friedlander, Senior Director – Fixed Income Regulation, FINRA
Peter Golotko, President, CPS Investment Advisors
Matthew Rothchild, Compliance Officer, EFS Advisors

A speaker photo for Mike Phillips

Mike Phillips

Founder & Chief Executive Officer, Vigilant

Read bio
A speaker photo for Beverly Duke

Beverly Duke

Chief Compliance Officer, Markston International LLC

Read bio
A speaker photo for Cynthia Friedlander

Cynthia Friedlander

Senior Director - Fixed Income Regulation, FINRA

Read bio
A speaker photo for Peter Golotko

Peter Golotko

President, CPS Investment Advisors

Read bio
A speaker photo for Matthew Rothchild

Matthew Rothchild

Compliance Officer, EFS Advisors

Read bio
11:30 - 12:30

Business Continuity Plan: Managing Risk Throughout its Entire Cycle

Carl Ayers, Seth Gelman, Maurizio Tallini

An emergency can throw a wrench in your daily business operations at a moment’s notice.  Key issues that we will cover that can help:

  • Disaster stories told by 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 should be involved in the testing?
    • Lessons learned from past disaster relief events and new procedures put in place

Leave with a reminder of the steps you should take now to give your business the right tools to continue operating in the face of a potential disaster.

Moderator: Carl Ayers, Publisher, Regulatory Compliance Watch

Panelists:
Seth Gelman, Chief Compliance Officer, Insight Investment
Anthony Ghoston, President, Chief Operating Officer & Chief Compliance Officer, Dividend Assets Capital, LLC
Maurizio Tallini, Chief Compliance Officer, Domini Investments

A speaker photo for Carl Ayers

Carl Ayers

Publisher, Regulatory Compliance Watch

Read bio
A speaker photo for Seth Gelman

Seth Gelman

Chief Compliance Officer, Insight Investment

Read bio
A speaker photo for Maurizio Tallini

Maurizio Tallini

Chief Compliance Officer, Domini Impact Investment LLC

Read bio
12:30 - 13:30

Lunch

13:30 - 14:30

Breakout Sessions

13:30 - 14:30

Conflicts of Interest & Disclosure

LaRue McIntyre, Mitzie Pierre, Neshie Tiwari

Conflicts of interest come in many shapes and sizes and are not always easy to spot.  You will get guidance on:

  • What are some common conflicts related to advisory activities?
  • How to inventory conflicts of interest that are material to your business?
  • How you can train advisers to identify and disclose conflicts and the steps you can take once they have been identified?
  • What are reasonable policies and procedures to identify and mitigate any conflicts of interest?
  • What are recommended ways to track employee’s gift, entertainment, personal trading, outside business activities, and political contributions?
  • How you should you track and disclose conflicts on your Form ADV?

You will leave with the tools you need to effectively track and monitor your firm’s conflicts.

Moderator: Bill Myers, Reporter, Regulatory Compliance Watch

Panelists:
Neil Lombardo, Senior Special Counsel- Division of Investment Management, U.S. Securities and Exchange Commission
LaRue McIntyre, Chief Compliance Officer, TrustCore
Mitzie Pierre, Chief Compliance Officer, IFM Investors
Neshie Tiwari, Chief Compliance Officer & Counsel, Ellevest

A speaker photo for LaRue McIntyre

LaRue McIntyre

Chief Compliance Officer, TrustCore Financial Services, LLC & Co-Chair Nashville NSCP Compliance Roundtable

Read bio
A speaker photo for Mitzie Pierre

Mitzie Pierre

Chief Compliance Officer, IFM Investors

Read bio
A speaker photo for Neshie Tiwari

Neshie Tiwari

Chief Compliance Officer & Counsel, Ellevest

Read bio
13:30 - 14:30

Custody Rule

Danny Ball, Christopher Casdia, Sirimal Mukerjee

Custody rule is complex and can feel like an inconvenience when your firm is doing business with your clients.  We will help demystify custody by reviewing:

  • What constitutes custody status?
  • What are some things that can trigger custody status?
  • How can you best handle inadvertent custody?
  • What are some best practices to ensure you are compliant?
  • What are variables you should consider in reviewing your firm’s compliance procedures?
  • What P&Ps should you have in place to be prepared for your annual surprise exam?
  • A discussion of any custody issues that came up on recent OCIE examinations

You will leave with resources and best practices to clarify your understanding of the custody rule in a way that will support more seamless interactions with clients.

Panelists:
Daniel “Danny” Ball, Chief Compliance Officer, SPC Financial, Inc.
Christopher Casdia, Chief Compliance Officer, Homrich Berg Wealth Management
Sirimal Mukerjee, Senior Counsel, U.S. Securities and Exchange Commission

A speaker photo for Danny Ball

Danny Ball

General Counsel, Chief Compliance Officer, SPC Financial

Read bio
A speaker photo for Christopher Casdia

Christopher Casdia

Chief Compliance Officer, Homrich Berg Wealth Management

Read bio
A speaker photo for Sirimal  Mukerjee

Sirimal Mukerjee

Senior Counsel, U.S. Securities and Exchange Commission

Read bio
14:30 - 15:30

Ways to Ease Your Compliance Burdens through Technology

Daniel P. Harley III, Brent Nicks, Charlton Rugg

As the amount of information under a CCO’s domain continues to grow, it is increasingly important that CCOs are operating with a system that is as effective, precise, and organized as possible to promote cost-saving.  We will review:

  • How technology can help manage and monitor your firm’s electronic communication, trade surveillance, document management, code of ethics, investment restrictions and compliance case management?
  • What you need to consider when you research automation tools?
  • How you can find a balance between manual and automated compliance that will minimize error and maximize effectiveness?
  • How you can test your automation tools?
  • What are some recommended technology resources?

You will leave with a guide to organize and check your firm’s automation resources in a way that will make your compliance program run as smoothly as possible.

Panelists:
Daniel P. Harley III, Chief Compliance Officer, Channing Capital Management, LLC
Brent Nicks, Chief Compliance Officer, Goss Advisors
Charlton Rugg, Chief Compliance, Legal, and Technology Officer, Obermeyer Wood Investment Counsel, LLP

A speaker photo for Daniel P. Harley III

Daniel P. Harley III

Chief Compliance Officer, Channing Capital Management, LLC

Read bio
A speaker photo for Brent Nicks

Brent Nicks

Chief Compliance Officer, Goss Advisors

Read bio
A speaker photo for Charlton Rugg

Charlton Rugg

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

Read bio
15:30 - 16:00

Networking Break

16:00 - 17:00

Best Practices from Your Peers (Roundtables)

Nicole Davis, Michele Hawkins, Kent Keister, Steven Trigili

Although you may think your compliance program is running as efficiently as possible, there is always room for improvement. You will have the 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
    • Facilitator: Steven Trigili, Chief Compliance Officer, Garden State Securities
  • Fees and expenses/Cash solicitation
    • Facilitator: Nicole Davis, Chief Compliance Officer, Northwest Financial Advisers
  • Working with senior clients
    • Facilitator: Kent Keister, Compliance Officer, Budros Ruhlin Roe
  • Overcoming the challenges women face in compliance
    • Facilitator: Michele Hawkins, Managing Director & Chief Compliance Officer (Fort Washington Investment Advisors, Inc.)
  • Supervision of digital assets
A speaker photo for Nicole Davis

Nicole Davis

Chief Compliance Officer, Northwest Financial Advisors

Read bio
A speaker photo for Michele Hawkins

Michele Hawkins

Managing Director & Chief Compliance Officer, Fort Washington Investment Advisors, Inc.

Read bio
A speaker photo for Kent Keister

Kent Keister

Director of Compliance, Budros Ruhlin Roe

Read bio
A speaker photo for Steven Trigili

Steven Trigili

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

Read bio
17:00 - 18:00

Cocktail Reception

Agenda

Day 2 - Friday 8th

Regulatory Compliance Watch: The Full 360° Compliance View
07:45 - 08:25

Breakfast

08:25 - 08:30

Welcome Back from Hugh Kennedy

Hugh Kennedy
A speaker photo for Hugh Kennedy

Hugh Kennedy

Group Publisher, Regulatory Compliance Watch

Read bio
08:30 - 09:30

SEC Keynote & Super Session

Daniel S. Kahl, Marita Bartolini

The number of SEC exams are at historic highs, exceeding 3,000 annual exams, so it is increasingly important that you have the latest insight on current exam focus areas, priorities, and best practices.

Current SEC trends

  • What are common deficiency areas and how can you avoid them?
  • Which risk areas could be the focus of future sweeps?

Keynote Speaker:
Daniel S. Kahl, Co-Deputy Director and Chief Counsel, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission

Preparing for an examination

  • What are suggested steps you can take throughout the year to increase your preparedness (ex: mock exams)?
  • Which documents are most often included in the request list?
  • Importance of an open dialogue: Be prepared and transparent with examination staff
  • Who should be involved in your firm’s exit interview?
  • How to respond to your firm’s deficiency letter in a way that specifically addresses how your firm is going to rectify each item?
  • What post-deficiency action have your peers taken to remedy their deficiencies?

Keynote Speaker:
Marita Bartolini, Assistant Director in D.C. Office of Office of Compliance Inspections and Examinations for Investment Advisers/Investment Compares

A speaker photo for Daniel S. Kahl

Daniel S. Kahl

Co-Deputy Director and Chief Counsel, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission

Read bio
A speaker photo for Marita Bartolini

Marita Bartolini

Assistant Director, U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations (OCIE)

Read bio
09:30 - 10:30

Advertising and Marketing Rule

Bart McDonald, Victor M. Frye, Christopher Jackson, Emily Rowland

Although there has been speculation of a new advertising rule, here’s how you can make the existing rules fit today’s advertising methods in the meantime.  Leave with guidance on the following:

  • Have you inventoried which marketing collateral contains performance from third parties and are you able to produce the backup?
  • What constitutes a testimonial and why should you ban them?
  • How can you train your staff to use social media that considers current technologies and meets the current rule’s restrictions?
  • Are you appropriately archiving social media in accordance with record keeping requirements?
  • What are the important regulation takeaways that your marketing staff needs to understand?
  • What are some commonly used terms or phrases that you should avoid and what you can say instead?
  • What steps can you take to test or confirm performance data from third party providers?

Through the use of “real life” scenarios, our panelists will demonstrate best practices for you to consider, this session will provide you with tactics that will help energize your advertising program.

Moderator:
Bart J. McDonald,
Executive Vice President, Renaissance Regulatory Services, Inc.

Panelists:

Victor Frye, Chief Compliance Officer, Pro Funds Advisor
Christopher Jackson, Senior Vice President & General Counsel, Calamos
Emily Rowland, Senior Counsel, U.S. Securities and Exchange Commission

A speaker photo for Bart McDonald

Bart McDonald

Executive Vice President, Renaissance Regulatory Services, Inc.

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A speaker photo for Victor M. Frye

Victor M. Frye

Executive Director and Chief Compliance Officer, ProShares | ProFunds

Read bio
A speaker photo for Christopher Jackson

Christopher Jackson

Senior Vice President and General Counsel, Calamos Investments

Read bio
A speaker photo for Emily Rowland

Emily Rowland

Senior Counsel, U.S. Securities and Exchange Commission

Read bio
10:30 - 10:50

Networking Break

10:50 - 11:50

Leadership and Working with Your C-Suite

David Campbell, Matt Helfrich, Margaret Iamunno

Disconnect between your CCO and the rest of your c-suite could result in your firm being unprepared for a potential crisis.  We will cover the following c-suite collaboration and leadership tips:

  • What are best practices for performing CCO management responsibilities?
  • How to best wear multiple hats?
  • How you can lead a compliance program that promotes an open line of communication with investors?
  • How can you relate to the c-suite and present your compliance program in a way that conveys the critical role it plays in your firm’s overall success?
  • Who are the key players that CCOs should collaborate with?
  • What are the effective ways of reporting your annual review/compliance violations to senior management?

Leave with solutions that will help bridge the gap between your firm’s CCO and c-suite in a way that foster’s your firm’s compliance.

Panelists:
David Campbell, General Counsel, Silvercrest Asset Management Group LLC
Matthew Helfrich,
Partner and President, Waldron Private Wealth
Margaret Iammuno, Chief Compliance Officer, GM Advisory Group

A speaker photo for David Campbell

David Campbell

General Counsel, Silvercrest Asset Management Group LLC

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A speaker photo for Matt Helfrich

Matt Helfrich

Partner and President, Waldron Private Wealth

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A speaker photo for Margaret Iamunno

Margaret Iamunno

Chief Compliance Officer, GM Advisory Group

Read bio
11:50 - 12:50

Vendor Management in Cybersecurity

Carl Ayers, Claire Gorman, Robert Hille, Kent Keister

Since you are only as secure as the vendors who have access to your data, your firm’s cybersecurity starts with effective vendor management.  Here are the key variables you should consider:

  • Creating a plan and checklist
  • What you should include on your firm’s Due Diligence Questionnaire?
  • What other types of due diligence do you perform during onboarding and on an ongoing basis?
  • What are the benefits of having your IT team involved in the process?
  • What steps do you need to take when terminating a vendor to safeguard your firm’s and investor’s data?

This session will give you the tools to create not only a thorough vendor management process for vendors responsible for maintaining your cybersecurity, but considerations that you can apply to managing your other vendors as well.

Moderator: Carl Ayers, Publisher, Regulatory Compliance Watch

Panelists:
Claire M. Gorman, Chief Compliance Officer, Moneta Group, LLC
Robert Hille, General Counsel and Chief Compliance Officer, Laird Norton Wealth Management
Kent Keister, Director of Compliance, Budros Ruhlin Roe

A speaker photo for Carl Ayers

Carl Ayers

Publisher, Regulatory Compliance Watch

Read bio
A speaker photo for Claire Gorman

Claire Gorman

Chief Compliance Officer, Moneta Group, LLC

Read bio
A speaker photo for Robert Hille

Robert Hille

General Counsel and Chief Compliance Officer, Laird Norton Wealth Management

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A speaker photo for Kent Keister

Kent Keister

Director of Compliance, Budros Ruhlin Roe

Read bio
12:50 - 13:50

Lunch & Closing Remarks

13:50 - 13:50

Conference Adjourns

13:50 - 14:00

Transition to Workshop

SEC Exam Preparation Workshop
14:00 - 17:00

SEC Exam Preparation Workshop

In order to have the best outcome on your SEC exam, preparation is key.  We will walk you through the steps you need to take before, during, and after your exam to ensure the most successful outcome.  You will leave with actionable insights and a toolkit filled with resources that will guide you through every step of the process.

14:00 - 15:00

Before examiners arrive

Mario Chilin, Chad Earnst

Facilitators:
Mario Chilin,
Chief Compliance Officer, EP Wealth Advisors, LLC
Chad Earnst, Global Head of Compliance, PGIM

A speaker photo for Mario Chilin

Mario Chilin

Chief Compliance Officer, EP Wealth Advisors, LLC

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A speaker photo for Chad Earnst

Chad Earnst

Global Head of Compliance, PGIM

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15:00 - 16:00

During the exam

Dawn Baillie, Michael Snyder

Facilitators:
Dawn Baillie, Vice President of Compliance, Wellesley Asset Management, Inc.
Michael Snyder, Chief Compliance Officer, Beaumont Financial Partners

A speaker photo for Dawn Baillie

Dawn Baillie

Vice President of Compliance, Wellesley Asset Management, Inc.

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A speaker photo for Michael Snyder

Michael Snyder

Chief Compliance Officer, Beaumont Financial Partners, LLC

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16:00 - 16:15

Refreshment break

16:15 - 17:15

After the exam

Matt Lovett, Jan Peebles

Facilitator:
Matt Lovett, Chief Compliance Officer, Brookstone Capital Management
Jan Peebles, Chief Compliance Officer, ARGI Investment Services

 

A speaker photo for Matt Lovett

Matt Lovett

Chief Compliance Officer, Brookstone Capital Management

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A speaker photo for Jan Peebles

Jan Peebles

Chief Compliance Officer, ARGI Investment Services

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SEC EXAM PREPARATION WORKSHOP

Workshop Details:

A Road Map to Ace Your Next SEC Exam

Why You Should Attend:
Designed for compliance & financial reporting professionals, this interactive, in-depth workshop will help you gain insight on how to best prepare for a SEC Exam. We know that in order for you to have the best outcome on your SEC exam, preparation is key.  We will walk you through the steps you need to take before, during, and after your exam to ensure the most successful outcome.  You will leave with actionable insights and a toolkit filled with resources that will guide you through every step of the process. This Workshop is perfect for beginners or as a refresher for experienced SEC reporting professionals. Earn 3 CLE/CPE credits.

Speakers:

  • Chad Earnst, Global Head of Compliance (PGIM)
  • Mario Chilin, Chief Compliance Officer, EP Wealth Advisors, LLC
  • Dawn Baillie, Vice President of Compliance, Wellesley Asset Management, Inc.
  • Michael H. Snyder, Chief Compliance Officer, Beaumont Financial Partners
  • Matt Lovett, Chief Compliance Officer, Brookstone Capital Management
  • Jan Peebles, Chief Compliance Officer, ARGI Investment Services

What You Will Learn:

  • Before Examiners Arrive: What to Do to Ensure You’re Ready for an Examination Grilling
    •  The pool of registered investment advisers that will be subject to an SEC exam in 2020 is at the highest level seen in years making it even more paramount that you be ever-prepared should your firm get the call. Hear the SEC’s “Top 10” focus areas, the items being sought in current document requests letters and the tried and true exam prep techniques that have served your peers who have been through a recent exam well.
  • During the Exam: How to Make that Vital First Impression or Pay a Price
    • This session takes you through an exam’s on-site component and through the many weeks, and even months, that follow. Master this phase and you’re well on your way to a positive result.
  • After the Exam: Steps to Alleviate Trouble-Spots and Resolve Examiner Concerns
    • The work doesn’t stop when SEC examiners leave your office. There may be follow on document requests which keeps the closure clock ticking. A deficiency letter may come, providing a critical opportunity for response. And immediately tackling cited deficiencies and documenting your actions is a must. Gain key tips for tactics to employ once the examiners have left your shop.

Who Should Attend:
Registered Investment Advisors, Investment Professionals at Broker-Dealers, Chief Compliance Officers (CCOs), Investment Fund Executives, General Partners (GPs), Chief Financial Officers (CFOs), Controllers, General Counsel.

Carl Ayers

Publisher, Regulatory Compliance Watch

Carl has been the publisher of Regulatory Compliance Watch since 2008. He has won several national journalism awards, including for investigative reporting. In 2018, Ayers won two awards - a second place award for Best Spot News for a story reporting… Read full bio

Dawn Baillie

Vice President of Compliance, Wellesley Asset Management, Inc.

Dawn is currently the Vice President of Compliance for Wellesley Asset Management, a registered investment advisory firm which specializes in the management of convertible bond portfolios. Prior to that Dawn was the Chief Compliance Officer for Welle… Read full bio

Danny Ball

General Counsel, Chief Compliance Officer, SPC Financial

Daniel A. Ball (Danny) joined SPC Financial, Inc., an independent SEC registered investment advisory firm, in 2015 as its General Counsel and Chief Compliance Officer. He holds a General Securities Representative (Series 7) license, a NASAA Uniform C… Read full bio

Marita Bartolini

Assistant Director, U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations (OCIE)

Marita Bartolini has over 20 years of examination experience and serves as an Assistant Director for OCIE’s Home Office Investment Adviser and Investment Company (IA/IC) Examination Program. In this capacity, she partners with other assistant directo… Read full bio

David Campbell

General Counsel, Silvercrest Asset Management Group LLC

David J. Campbell is the General Counsel of Silvercrest Asset Management Group LLC. Mr. Campbell joined Silvercrest from Jefferies & Company, Inc., where he was a Managing Director and Associate General Counsel, supporting the Equities, Fixed Inc… Read full bio

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

Nicole Davis

Chief Compliance Officer, Northwest Financial Advisors

Since early 2016, Nicole Davis has served as Northwest Financial Advisors’ Chief Compliance Officer (CCO) where she oversees and manages NWFA’s compliance with regulatory requirements and internal policies. Her 25-year career in the financial service… Read full bio

Beverly Duke

Chief Compliance Officer, Markston International LLC

Coming soon..

Chad Earnst

Global Head of Compliance, PGIM

Chad Alan Earnst serves as the Global Head of Compliance for PGIM, the global investment management business of Prudential Financial, Inc. PGIM is a multi-manager that offers a wide range of investment strategies across asset classes and geographies,… Read full bio

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

Victor M. Frye

Executive Director and Chief Compliance Officer, ProShares | ProFunds

Victor Frye joined ProShares in 2002 as Chief Compliance Officer and has more than 30 years of experience working in the financial services industry. Mr. Frye is responsible for a team of professionals who oversee all regulatory and compliance matter… Read full bio

Seth Gelman

Chief Compliance Officer, Insight Investment

Seth joined Insight in October 2017 and has oversight of the development and maintenance of the compliance program with respect to SEC and other US rules and regulations for Insight in North America. Prior to joining Insight, he spent over eight year… Read full bio

Peter Golotko

President, CPS Investment Advisors

Peter joined CPS in 1990. Peter has dedicated his career to helping people achieve financial independence, helping businesses and business owners reach and exceed their goals, and helping charitable institutions protect and make the best possible use… Read full bio

Claire Gorman

Chief Compliance Officer, Moneta Group, LLC

Coming soon..

Daniel P. Harley III

Chief Compliance Officer, Channing Capital Management, LLC

Daniel (“Dan”) Harley is Chief Compliance Officer with Channing Capital Management, LLC. Mr. Harley has over 12 years of investment management experience. Previously, Mr. Harley held the position of Manager, Investment Operations at Channing, where h… Read full bio

Michele Hawkins

Managing Director & Chief Compliance Officer, Fort Washington Investment Advisors, Inc.

Michele Hawkins is managing director and chief compliance officer for Fort Washington Investment Advisors, Inc., which she joined in 2000. Fort Washington is headquartered in Cincinnati, Ohio, with $62.3 billion in assets under management (as of Sept… 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

Robert Hille

General Counsel and Chief Compliance Officer, Laird Norton Wealth Management

Robert Hille joined Laird Norton Wealth Management in 2009 as general counsel and chief compliance officer. He directs all legal, regulatory and compliance functions for Laird Norton Wealth Management and is responsible for overseeing the fulfillment… Read full bio

Jim Hooks

Executive Vice President, Chief Compliance Officer, Private Advisor Group, LLC

Jim Hooks serves as Executive Vice President, Chief Compliance Officer at Private Advisor Group where he is responsible for all aspects and oversight of over 600 advisors with $30 billion in AUA. He joined the firm in January of 2019 after long caree… 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

Christopher Jackson

Senior Vice President and General Counsel, Calamos Investments

J. Christopher Jackson is Senior Vice President and General Counsel of Calamos Investments in Naperville, Illinois where he has responsibility for the Legal, Compliance and Internal Audit functions of Calamos and its affiliated companies. He has been… Read full bio

Daniel S. Kahl

Co-Deputy Director and Chief Counsel, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission

Daniel S. Kahl is Co-Deputy Director and Chief Counsel for the Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission. Formerly, Mr. Kahl was Assistant Director in charge of the Investment Adviser Regulation Office… 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

Hugh Kennedy

Group Publisher, Regulatory Compliance Watch

Hugh has 35 years of expertise in the financial services industry, with publishing and legal research experience spanning the public company, investment adviser, broker-dealer, credit union and banking industries. As a senior-level manager, award-win… 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

Bart McDonald

Executive Vice President, Renaissance Regulatory Services, Inc.

Bart J. McDonald is the Executive Vice President of Renaissance Regulatory Services, Inc. (“RRS”). Mr. McDonald is responsible for RRS’s investment advisory practice and has over twenty-five years of public/private sector regulatory compliance experi… 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

LaRue McIntyre

Chief Compliance Officer, TrustCore Financial Services, LLC & Co-Chair Nashville NSCP Compliance Roundtable

If you ask the advisors at TrustCore if they are excited about an upcoming annual compliance meeting, you will get a surprising “yes.” This is because, like many, LaRue McIntyre stumbled into the compliance role; but for her, it has become a passion.… Read full bio

Sirimal Mukerjee

Senior Counsel, U.S. Securities and Exchange Commission

Sirimal R. Mukerjee serves as Senior Counsel in the Investment Adviser Regulation Office, a unit of the SEC’s Division of Investment Management in Washington, DC. Sirimal works on the development of policy and rulemaking relating to investment advise… 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

Jan Peebles

Chief Compliance Officer, ARGI Investment Services

Jan Peebles has been with ARGI (formerly RDB, Inc.) since 1995 and serves as ARGI’s Chief Compliance Officer. In this role, Jan assures that ARGI adheres to all of the compliance requirements outlined by SEC guidelines in the course of business. Jan… Read full bio

Mike Phillips

Founder & Chief Executive Officer, Vigilant

Mike Phillips is the founder and CEO of Vigilant, a public records monitoring platform used by compliance teams at dozens of leading financial institutions. By integrating thousands of public data sources in real time, Vigilant comprehensively monito… 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

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

Robert Rabinowitz

Shareholder, Becker & Poliakoff

Robert’s practice centers on legal and regulatory guidance in the formation and registration of broker/dealers and investment advisers, and representation of broker/dealers, investment advisers and their representatives with respect to regulatory and… 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

Neshie Tiwari

Chief Compliance Officer & Counsel, Ellevest

Neshie Tiwari serves as Chief Compliance Officer & Compliance Counsel at Ellevest, Inc., a digital investment platform, private wealth management and financial planning service provider, co-founded by Sallie Krawcheck, dedicated to helping women… 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
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SATISFY YOUR ANNUAL CLE/CPE REQUIREMENTS!

Earn 10.5 CLE/CPE Credits for the Main Conference
Earn 3 CLE/CPE Credits for the Post-Workshop

As a national CLE/CPE provider, RCW‘s conference will offer CLE/CPE credits. 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, 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

Convene at 14th Street

600 14th Street, NW
Washington, D.C. 20005
1-888-730-7307
Website

At Convene, we create and service places for people like you—the changemakers, thought leaders, creators, and innovators. And when it comes to work, we believe that place matters. A lot. So we obsess over the ways you navigate your day and design our spaces accordingly—to support collaboration, to sustain concentration, to spark inspiration. After all, it’s an upgrade you’ve earned.

Hotel Recommendation

Please note that will have a room block at the following hotel:

Washington Marriott at Metro Center
775 12th Street NW
Washington, DC 20005

Room Rate: $309.00 per night

Cut-off date: April 15th, 2020

Reservation link: https://book.passkey.com/e/50033991

Reservations for the event can also be made by directly calling Marriott reservations at 1-800-393-2510.

Showcase Your Company

When you partner with RCW: The Full 360° Compliance View conference, you reach hundreds of Chief Compliance Officers, Compliance Officers, In-House Legal & Compliance Personnel, General Counsel, Outside Counsel, Senior Officers and Executives, CFOs, Owners/Presidents, Senior VPs and financial professionals working in companies of all sizes and sectors.  Connect with new customers, generate qualified leads, and gain measurable investment return with our strategic partnerships.

For more information on exhibiting or sponsorship opportunities, please contact Jimmy Kurtovic, Business Development Manager at +1 646.795.3273 or jimmy.k@peimedia.com.

 

Host publication

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RCW: The Full 360° Compliance View Team

 

SPEAKING OPPORTUNITIES
Joan Moh | Conference Producer | | Ejoan.m@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 Marketing Manager | T:  646-356-4526 | E:  pooja.k@peimedia.com

Carl Ayers

Publisher, Regulatory Compliance Watch

Read Bio

 

Liz Bedore

Vice President, Corporate Ethics & Compliance MetLife, Inc.

Read Bio

Steve Flammey

CFO/Chief Compliance Officer, Redwood Investments, LLC

Read Bio

Hugh Kennedy

Group Publisher, Regulatory Compliance Watch

Read Bio

Matt Lovett

Chief Compliance Officer, Brookstone Capital Management

Read Bio

LaRue McIntyre

Chief Compliance Officer, TrustCore Financial Services, LLC & Co-Chair Nashville NSCP Compliance Roundtable

Read Bio

Maurizio Tallini

Chief Compliance Officer, Domini Impact Investments & Domini Funds

Read Bio

Steven Trigili

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

Read Bio

Carl Ayers

Publisher, Regulatory Compliance Watch

Carl has been the publisher of Regulatory Compliance Watch since 2008. He has won several national journalism awards, including for investigative reporting. In 2018, Ayers won two awards - a second place award for Best Spot News for a story reporting… Read full bio

Dawn Baillie

Vice President of Compliance, Wellesley Asset Management, Inc.

Dawn is currently the Vice President of Compliance for Wellesley Asset Management, a registered investment advisory firm which specializes in the management of convertible bond portfolios. Prior to that Dawn was the Chief Compliance Officer for Welle… Read full bio

Danny Ball

General Counsel, Chief Compliance Officer, SPC Financial

Daniel A. Ball (Danny) joined SPC Financial, Inc., an independent SEC registered investment advisory firm, in 2015 as its General Counsel and Chief Compliance Officer. He holds a General Securities Representative (Series 7) license, a NASAA Uniform C… Read full bio

Marita Bartolini

Assistant Director, U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations (OCIE)

Marita Bartolini has over 20 years of examination experience and serves as an Assistant Director for OCIE’s Home Office Investment Adviser and Investment Company (IA/IC) Examination Program. In this capacity, she partners with other assistant directo… Read full bio

David Campbell

General Counsel, Silvercrest Asset Management Group LLC

David J. Campbell is the General Counsel of Silvercrest Asset Management Group LLC. Mr. Campbell joined Silvercrest from Jefferies & Company, Inc., where he was a Managing Director and Associate General Counsel, supporting the Equities, Fixed Inc… Read full bio

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

Nicole Davis

Chief Compliance Officer, Northwest Financial Advisors

Since early 2016, Nicole Davis has served as Northwest Financial Advisors’ Chief Compliance Officer (CCO) where she oversees and manages NWFA’s compliance with regulatory requirements and internal policies. Her 25-year career in the financial service… Read full bio

Beverly Duke

Chief Compliance Officer, Markston International LLC

Coming soon..

Chad Earnst

Global Head of Compliance, PGIM

Chad Alan Earnst serves as the Global Head of Compliance for PGIM, the global investment management business of Prudential Financial, Inc. PGIM is a multi-manager that offers a wide range of investment strategies across asset classes and geographies,… Read full bio

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

Victor M. Frye

Executive Director and Chief Compliance Officer, ProShares | ProFunds

Victor Frye joined ProShares in 2002 as Chief Compliance Officer and has more than 30 years of experience working in the financial services industry. Mr. Frye is responsible for a team of professionals who oversee all regulatory and compliance matter… Read full bio

Seth Gelman

Chief Compliance Officer, Insight Investment

Seth joined Insight in October 2017 and has oversight of the development and maintenance of the compliance program with respect to SEC and other US rules and regulations for Insight in North America. Prior to joining Insight, he spent over eight year… Read full bio

Peter Golotko

President, CPS Investment Advisors

Peter joined CPS in 1990. Peter has dedicated his career to helping people achieve financial independence, helping businesses and business owners reach and exceed their goals, and helping charitable institutions protect and make the best possible use… Read full bio

Claire Gorman

Chief Compliance Officer, Moneta Group, LLC

Coming soon..

Daniel P. Harley III

Chief Compliance Officer, Channing Capital Management, LLC

Daniel (“Dan”) Harley is Chief Compliance Officer with Channing Capital Management, LLC. Mr. Harley has over 12 years of investment management experience. Previously, Mr. Harley held the position of Manager, Investment Operations at Channing, where h… Read full bio

Michele Hawkins

Managing Director & Chief Compliance Officer, Fort Washington Investment Advisors, Inc.

Michele Hawkins is managing director and chief compliance officer for Fort Washington Investment Advisors, Inc., which she joined in 2000. Fort Washington is headquartered in Cincinnati, Ohio, with $62.3 billion in assets under management (as of Sept… 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

Robert Hille

General Counsel and Chief Compliance Officer, Laird Norton Wealth Management

Robert Hille joined Laird Norton Wealth Management in 2009 as general counsel and chief compliance officer. He directs all legal, regulatory and compliance functions for Laird Norton Wealth Management and is responsible for overseeing the fulfillment… Read full bio

Jim Hooks

Executive Vice President, Chief Compliance Officer, Private Advisor Group, LLC

Jim Hooks serves as Executive Vice President, Chief Compliance Officer at Private Advisor Group where he is responsible for all aspects and oversight of over 600 advisors with $30 billion in AUA. He joined the firm in January of 2019 after long caree… 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

Christopher Jackson

Senior Vice President and General Counsel, Calamos Investments

J. Christopher Jackson is Senior Vice President and General Counsel of Calamos Investments in Naperville, Illinois where he has responsibility for the Legal, Compliance and Internal Audit functions of Calamos and its affiliated companies. He has been… Read full bio

Daniel S. Kahl

Co-Deputy Director and Chief Counsel, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission

Daniel S. Kahl is Co-Deputy Director and Chief Counsel for the Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission. Formerly, Mr. Kahl was Assistant Director in charge of the Investment Adviser Regulation Office… 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

Hugh Kennedy

Group Publisher, Regulatory Compliance Watch

Hugh has 35 years of expertise in the financial services industry, with publishing and legal research experience spanning the public company, investment adviser, broker-dealer, credit union and banking industries. As a senior-level manager, award-win… 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

Bart McDonald

Executive Vice President, Renaissance Regulatory Services, Inc.

Bart J. McDonald is the Executive Vice President of Renaissance Regulatory Services, Inc. (“RRS”). Mr. McDonald is responsible for RRS’s investment advisory practice and has over twenty-five years of public/private sector regulatory compliance experi… 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

LaRue McIntyre

Chief Compliance Officer, TrustCore Financial Services, LLC & Co-Chair Nashville NSCP Compliance Roundtable

If you ask the advisors at TrustCore if they are excited about an upcoming annual compliance meeting, you will get a surprising “yes.” This is because, like many, LaRue McIntyre stumbled into the compliance role; but for her, it has become a passion.… Read full bio

Sirimal Mukerjee

Senior Counsel, U.S. Securities and Exchange Commission

Sirimal R. Mukerjee serves as Senior Counsel in the Investment Adviser Regulation Office, a unit of the SEC’s Division of Investment Management in Washington, DC. Sirimal works on the development of policy and rulemaking relating to investment advise… 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

Jan Peebles

Chief Compliance Officer, ARGI Investment Services

Jan Peebles has been with ARGI (formerly RDB, Inc.) since 1995 and serves as ARGI’s Chief Compliance Officer. In this role, Jan assures that ARGI adheres to all of the compliance requirements outlined by SEC guidelines in the course of business. Jan… Read full bio

Mike Phillips

Founder & Chief Executive Officer, Vigilant

Mike Phillips is the founder and CEO of Vigilant, a public records monitoring platform used by compliance teams at dozens of leading financial institutions. By integrating thousands of public data sources in real time, Vigilant comprehensively monito… 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

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

Robert Rabinowitz

Shareholder, Becker & Poliakoff

Robert’s practice centers on legal and regulatory guidance in the formation and registration of broker/dealers and investment advisers, and representation of broker/dealers, investment advisers and their representatives with respect to regulatory and… 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

Neshie Tiwari

Chief Compliance Officer & Counsel, Ellevest

Neshie Tiwari serves as Chief Compliance Officer & Compliance Counsel at Ellevest, Inc., a digital investment platform, private wealth management and financial planning service provider, co-founded by Sallie Krawcheck, dedicated to helping women… 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