What’s on the agenda?
COMPLYConnect 2023 is back and better than ever. But what exactly can you expect from the three days of educational sessions, roundtable discussions and expert insight?
Let’s check it out.
The COMPLYConnect 2023 Agenda
Over the course of three days (plus one-preconference day) the COMPLYConnect team will discuss the hot topics of the year, including AI/ChatGPT, cybersecurity, SEC proposed regulations and more.
Have an idea for a session? Submit your proposed topic by August 31 for consideration as one of three community-driven sessions!
Nov 6 (pre-conference)
- 12:30 p.m. – 2:30 p.m. Pre-Conference Workshop 1: Mastering the Fundamentals: A Practical Introduction for Those New to Investment Adviser Compliance
- 3:00 p.m. – 5:00 p.m. Pre-Conference Workshop 2: Women in Compliance Roundtable: Identifying and Improving Crucial Skill Sets
Nov 7
- 8:45 a.m. – 10:00 a.m. Keynote Session
- 10:15 a.m. – 11:30 a.m. General Session – What’s Happening in DC Now?
- 1:00 p.m. – 2:30 p.m. Investment Adviser Marketing Rule, A Year Later – IA Firms & BD/DR Firms
- 1:00 p.m. – 2:30 p.m. Investment Adviser Marketing Rule, A Year Later – Private Funds
- 2:45 p.m. – 3:45 p.m. Recent Trends in Enforcement Proceedings – IA
- 2:45 p.m. – 3:45 p.m. Department of Labor Initiatives – Yesterday, Today and Tomorrow
- 2:45 p.m. – 3:45 p.m. Recent Trends in Enforcement Proceedings – BD
- 3:45 p.m. – 4:00 p.m. Networking Break / Meet the Exhibitors
- 4:00 p.m. – 5:00 p.m. Understanding the SEC’s Proposed ESG Rule
- 4:00 p.m. – 5:00 p.m. Understanding the SEC’s Proposed Rule for Safeguarding Client Assets
- 4:00 p.m. – 5:00 p.m. Highs and Lows of Cryptocurrency in Today’s Market
Nov 8
- 8:45 a.m. – 9:30 a.m. Panel Discussion on Generative AI/ChatGPT
- 9:30 a.m. – 10:30 a.m. Mergers, Acquisitions, and Exit Opportunities Considerations
- 10:45 a.m. – 12:00 p.m. Vendor Due Diligence
- 10:45 a.m. – 12:00 p.m. SEC Proposed Ruling on Cybersecurity and Client Data Protection for IA and BD Firms
- 10:45 a.m. – 12:00 p.m. Panel Discussion: The Impact of 5 Generations in the Workforce on Compliance (DEI)
- 1:00 p.m. – 3:00 p.m. Professional Ethics: Ethical Decision-Making
- 2:00 p.m. – 3:00 p.m. Developing Procedures for Suspected Financial Abuse and Vulnerable Clients
- 3:15 p.m. – 4:30 p.m. Regulatory Examinations – Regulatory IA Firms
- 3:15 p.m. – 4:30 p.m. Regulatory Examinations – Private Funds
- 3:15 p.m. – 4:30 p.m. Managing the Technology for Traditional and Off-Channel Employee Communication
- 5:00 p.m. – 7:00 p.m. COMPLYConnect 2023 Awards Reception
Note: Have someone worthy of recognition? Submit them (or yourself) as a COMPLYConnect Award nominee! Nominations are open until September 15.
Nov 9
- 8:30 a.m. – 9:45 a.m. How Do I Know I Have Done Enough? – CCO Liability
- 8:30 a.m. – 9:45 a.m. Regulation Best Interest – the Impact of the Current SEC Risk Alerts
- 10:00 a.m. – 11:00 a.m. The SEC’s Proposed Cybersecurity Rule: Considerations in Vendor Management
- 10:00 a.m. – 11:00 a.m. Understanding Custody: Practical Examples of SEC’s Findings Relating to Private Funds, Third Party Vendors and more!
- 11:15 a.m. – 12:15 p.m. Critical Skills for High-Performance Compliance Professionals (Part I)
- 11:15 a.m. – 12:15 p.m. The Age of Mergers and Acquisitions: Branch Office and Remote Location Supervision
- 12:30 p.m. – 1:30 p.m. Critical Skills for High-Performance Compliance Professionals (Part II)