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:
A collaborative exchange of strategies and best practices that will give you the opportunity to access perspectives to rejuvenate your compliance program
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
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.
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
SEC EXAM PREPARATION WORKSHOP
In order to have the best outcome on your SEC exam, preparation is key.
Join Cad Earnst, Global Head of Compliance at PGIM as he 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 and 3 CLE/CPE credits.
More speakers to be announced soon.
Who Should Attend
- Compliance Officers
- In-House Legal and Compliance Personnel
- General Counsels
- Outside Counsels
- Senior Officers and Executives
- 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
Chief Legal Officer/CCO, Coastal Investment Advisors
Great subject matter and opportunities to speak with peers.
COO, PEM, LLC
The panelists were very good. The moderators were excellent.
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…
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 personable.
**Agenda Subject to Change**
Day 1 - Thursday 7th
Registration: Meet our Exhibitors and Enjoy Breakfast
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)
Chairman Welcome by Hugh Kennedy
Hot Topics: Ensure You Are Ready for Upcoming Regulatory Changes
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.
Hugh Kennedy, Group Publisher, Regulatory Compliance Watch
Mario Chilin, Chief Compliance Officer, EP Wealth Advisors, LLC
William Nelson, J.D., LL.M., Chief Compliance Officer, Mercer Advisors
Fiduciary Duty & Best Interest Rule
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.
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
Richard West, Partner, General Counsel & Chief Compliance Office, Snowden Lane Partners
Pay-to-Play in an Election Year
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.
Mike Phillips, Chief Executive Officer, Vigilant
Beverly Duke, Chief Compliance Officer, Markston International LLC
Business Continuity Plan: Managing Risk Throughout its Entire Cycle
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.
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
Conflicts of Interest & Disclosure
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.
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 & General Counsel, Ellevest
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.
Daniel “Danny” Ball, Chief Compliance Officer, SPC Financial, Inc.
Sirimal Mukerjee, Senior Counsel, U.S. Securities and Exchange Commission
Ways to Ease Your Compliance Burdens through Technology
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.
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
Best Practices from Your Peers (Roundtables)
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)
- New SEC guidance on oversight of proxy advisory firms and proxy voting
- Working with senior clients
- Overcoming the challenges women face in compliance (Facilitator: Michele Hawkins, Managing Director & Chief Compliance Officer, Fort Washington Investment Advisors, Inc.)
- Liquidity risk management
Chief Compliance Officer, Northwest Financial AdvisorsRead bio
Managing Director & Chief Compliance Officer, Fort Washington Investment Advisors, Inc.Read bio
Chief Compliance Officer, AMLCO of Garden State Securities, Inc. and Garden State Investment Advisory Services, LLCRead bio
Closing Remarks by Hugh Kennedy & Conference Adjourns
Day 2 - Friday 8th
Welcome Back from Hugh Kennedy
SEC Keynote & Super Session
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?
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?
Marita Bartolini, Assistant Director in D.C. Office of Office of Compliance Inspections and Examinations for Investment Advisers/Investment Compares
Advertising and Marketing Rule
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.
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
Leadership and Working with Your C-Suite
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.
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
Vendor Management in Cybersecurity
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.
Robert Hille, General Counsel and Chief Compliance Officer, Laird Norton Wealth Management
Lunch & Closing Remarks
Transition to Workshop
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.
Before examiners arrive
During the exam
Joseph McGill, Partner, Chief Compliance Officer, Lord Abbett
After the exam
SEC EXAM PREPARATION WORKSHOP
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.
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.
General Counsel, Chief Compliance Officer, SPC Financial
Assistant Director, U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations (OCIE)
Chief Compliance Officer, EP Wealth Advisors, LLC
Chief Compliance Officer, Northwest Financial Advisors
Global Head of Compliance, PGIM
Executive Director and Chief Compliance Officer, ProShares | ProFunds
Chief Compliance Officer, Insight Investment
Chief Compliance Officer, Channing Capital Management, LLC
Managing Director & Chief Compliance Officer, Fort Washington Investment Advisors, Inc.
Partner and President, Waldron Private Wealth
Executive Vice President, Chief Compliance Officer, Private Advisor Group, LLC
Chief Compliance Officer, GM Advisory Group
Senior Vice President and General Counsel, Calamos Investments
Chief Compliance Officer, Capital Advisors Inc.
Chief Compliance Officer, TrustCore Financial Services, LLC & Co-Chair Nashville NSCP Compliance Roundtable
Chief Compliance Officer, Goss Advisors
Chief Compliance Officer, IFM Investors
Senior Counsel, U.S. Securities and Exchange Commission
Chief Compliance Officer, Mercer Advisors
Senior Counsel, U.S. Securities and Exchange Commission
Chief Compliance, Legal, and Technology Officer, Obermeyer Wood Investment Counsel
Chief Compliance Officer, Domini Impact Investment LLC
Chief Compliance Officer & Counsel, Ellevest
Chief Compliance Officer, AMLCO of Garden State Securities, Inc. and Garden State Investment Advisory Services, LLC
Partner, General Counsel & Chief Compliance Officer, Snowden Lane Partners
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 Coordinator, Marquia Parnell at firstname.lastname@example.org or at 202-908-6214.
Convene at 14th Street
600 14th Street, NW
Washington, D.C. 20005
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.
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 email@example.com.
RCW: The Full 360° Compliance View Team
Joan Moh | Conference Producer | | E: firstname.lastname@example.org
SPONSOR & EXHIBIT OPPORTUNITIES
Jimmy Kurtovic | Business Development Manager | T: 646-795-3273 E: email@example.com
MEDIA PARTNERSHIPS, PRESS & GENERAL MARKETING OPPORTUNITIES
Pooja Kaul | Associate Marketing Manager | T: 646-356-4526 | E: firstname.lastname@example.org