Today, the 2015 Schwab Impact Conference kicks off in Boston. This year’s annual registered investment adviser (RIA) industry event features over 100 educational sessions, 135 expert speakers, and 350 exhibitors. There is something relevant at the conference for all the different principals of an RIA firm. However, we are going to focus this post on some tips on what any Chief Compliance Officer (CCO) in attendance should be sure not to miss.
As it relates to education sessions, the big compliance theme for this year’s event is cybersecurity. There are five separate sessions focused on cybersecurity including:
- Protecting your Firm and your Clients from Cybercrime and Fraud (Wednesday, November 11, 9:45AM-11:00AM): A discussion on how cybercrime works, why the loss of private information is not to be overlooked, and ways to prevent email-based wire fraud which is a key RIA business risk.
- Cybersecurity for Compliance Professionals (Wednesday, November 11, 1:00PM-2:15PM): A discussion on the legal and compliance landscape that applies to cybersecurity and the risks that cybersecurity poses in regulatory audits and enforcement actions.
- Constructing an Audit-Proof Cybersecurity Plan (Thursday, November 12, 2:30PM-3:45PM): A detailed discussion on how a CCO can build an information technology security plan for his or her firm focused on firm-level controls and how to audit and revise existing plans in place.
The exhibit hall also features a number of technology and other types of vendors that provide RIA compliance support. In particular, CCOs should be sure to check out the technology kiosk area located in the center of the exhibit hall. Thirty different technology vendors will be demoing their latest solutions in the kiosk area including a few focused on cybersecurity and compliance such as ITEGRIA, a strategic technology partner to RIA firms, that recently co-hosted an investment adviser cybersecurity webinar with our compliance consulting team.
And of course, don’t forget to demo the latest new features of our MyRIACompliance online RIA compliance management software in the technology kiosk area. In addition, our executive team will be in attendance to discuss any compliance questions that a CCO may have.
Schwab OpenView MarketSquare™ is a service of Schwab Intelligent Technologies™ and provides consolidated ratings and reviews of technology solutions made by independent investment advisors. Unless otherwise noted, reviewed technology vendors are not affiliated with Schwab. Ratings and reviews do not express or imply any opinion or endorsement by Schwab of any participating vendor or product.