12:30pm - 2:30pm
Pre-Conference Workshop 1: Mastering the Fundamentals: A Practical Introduction for Those New to Investment Adviser Compliance
Speakers:
Tom Coonan, Consultant, COMPLY
David Lui, Co Editior, Modern Compliance Vol. 1 & 2
3:00 p.m. - 5:00 p.m.
Pre-Conference Workshop 2:
Modern COMPLYance Women Roundtable – Identifying and Improving Crucial Skills
Speakers:
Marilyn Miles, VP Consulting, COMPLY
Debbie Konieczny, Chief Compliance Officer, Capital Advisors
Karen Aavik, Head of Ethics, Privacy and Investments Compliance, Flagstar Bank
5:00pm - 7:00pm
Main Conference Registration Open
5:00pm - 7:00pm
Welcome Reception
7:00 a.m. - 8:30 a.m.
Breakfast / Meet the Exhibitors
7:00 a.m. - 5:30 p.m.
Registration Open
7:00 a.m. - 5:00 p.m.
Exhibit Area Open
8:30 a.m. - 8:45 a.m.
Welcome Remarks / Conference Kick-Off
8:45 a.m. - 9:45 a.m.
Keynote Address - An Empowered CCO
Speakers:
Marshall Gandy, Investment Adviser/Investment Company Program Director, SEC
9:45 a.m. - 10:00 a.m.
Networking Break / Meet the Exhibitors
10:00 a.m. - 11:00 a.m.
General Session - What's Happening in DC Now?
Speakers:
Karen Barr, President and Chief Executive Officer, Investment Adviser Association
John Walsh, Partner, Eversheds Sutherland (US) LLP
11:00 a.m. - 11:10 a.m.
Room Change Break
11:10 a.m. - 11:40 a.m.
COMPLY SPONSOR PRESENTATION
Purpose Built Firm and Employee Compliance Solutions for: Private Funds, Investment Banks, and Alternatives
Speakers:
David Bliss, Chief Product Officer, COMPLY
Med Diagneault, Vice President, Private Fund Advisory Consulting, COMPLY
11:10 a.m. - 11:40 a.m.
COMPLY SPONSOR PRESENTATION
Tech Spotlight Sessions: Solutions Designed for Broker Dealers and Dually Registered Firms
Speakers:
Brittney FitzKoenig, Solutions Consultant, COMPLY
Ish Manzanares, Vice President, Consulting Services, COMPLY
11:45 a.m. - 1:00 p.m.
Lunch
1:00 p.m. - 2:30 p.m.
Breakout Sessions
Investment Adviser Marketing Rule - Best Practices To Meet SEC Expectations
Speakers:
Mario Chilin, CCO, EP Wealth Advisors
Kelly Igoe, Consultant, COMPLY
Generative AI: Embracing Innovation While Mitigating Risk
Speakers:
Helen Johnson, Chief Technology Officer, COMPLY
Karen DeFreitas, Director, Moelis & Company LLC
Ben Schreiner, Head of AI and Modern Data Strategy Business Development, Amazon
2:30 p.m. - 2:45 p.m.
Meet the Exhibitors / Networking Break
2:45 p.m. - 3:45 p.m.
Breakout Sessions
Recent Trends in Enforcement Proceedings - Investment Advisers
Speakers:
John Walsh, Partner, Eversheds Sutherland (US) LLP
Elizabeth Knobloch, Managing Member, Elizabeth M. Knoblock, PLLC
Recent Trends in Enforcement Proceedings - Broker Dealers
Speakers:
Tom Coonan, Senior Consultant, COMPLY
Ronak Patel, Principal, Bressler Amery & Ross
Recent Trends in Enforcement Proceedings - Private Funds
Speakers:
Craig Watanabe, Director of IA Compliance, Diversify Advisory Services
John Van Der Wal, Senior Director, Compliance Advisory, COMPLY
3:45 p.m. - 4:00 p.m.
Room Change Break
4:00 p.m. - 5:00 p.m.
Breakout Sessions
Interpreting Potential Future Directions of Private Fund Compliance
Speakers:
Lance Dial, Partner, K&L; Gates LLP
Med Daigneault, VP, Private Fund Advisory Consulting, COMPLY
Understanding Custody in the Current Landscape and Beyond
Speakers:
David Solander, Partner, DLA Piper
Amber Tatman, Senior Director, Compliance Advisory, COMPLY
Cryptocurrency and Other Digital Asset Compliance Considerations for Investment Advisers and Private Funds
Speakers:
Jonté Harrell, CFO & CRO, ZenLedger
David Bliss, Chief Product Officer, COMPLY
5:00 p.m. - 5:30 p.m.
Meet the Exhibitors
5:30 p.m. - 7:00 p.m.
Reception / Meet the Exhibitors
7:00 a.m. - 8:30 a.m.
Breakfast Sponsored by the IACCP Program Celebrating 20 Successful Years!
7:00 a.m. - 5:30 p.m.
Registration Open
7:00 a.m. - 5:00 p.m.
Exhibit Area Open
8:30 a.m. - 8:45 a.m.
Opening Remarks/Exhibitor Updates
8:45 a.m. - 9:35 a.m.
General Session: Keynote - Educating and Protecting Retail Investors
Speakers:
Owen Donley , Chief Counsel, Office of Investor Education and Advocacy, United States Securities and Exchange Commission
9:45 a.m. - 10:45 a.m.
BREAKOUT SESSION
Expanding Your Business into the UK - Compliance Considerations
Speakers:
Lance Dial, Partner, K&L; Gates LLP
Jessica Freckleton, UK Director, Compliance Advisory, COMPLY
Best Practices for Conducting Your Annual Review
Speakers:
Jodie Crotteau, Deputy CCO and Head of Investment Compliance & Cod, Harris Associates
Marilyn Miles, VP Consulting, COMPLY
Regulation S-P and Information Security Update: Evolving Regulatory Framework, Industry Expectations and Accompanying Challenges (CDS)
Speakers:
Michael Yaeger, Shareholder, Carlton Fields
Max Mejiborsky, VP Compliance Services, Executive Consultant, COMPLY
10:45 a.m. - 11:00 a.m.
Networking Break / Meet the Exhibitors
11:00 a.m. - 12:00 p.m.
BREAKOUT SESSION
Preparing RIAs, Private Funds, and ERAs for the new AML/CFT and Anticipating CIP
Speakers:
Richard Kerr, Partner, K&L; Gates
Ish Manzanares, Vice President, Consulting Services, COMPLY
Cybersecurity: Implementing Technology to Address Regulatory Concerns
Speakers:
Michael Cocanower, CEO, itSynergy
Jonathan Evans, Lead of Cyber Compliance, Smarsh
Vendor Due Diligence With or Without the Outsourcing Rule
Speakers:
Karen Aavik, Head of Ethics, Privacy and Investments Compliance, Flagstar Bank
Corrie Scoby, Consultant, COMPLY
12:00 p.m. - 1:00 p.m.
Lunch
1:00 p.m. - 3:00 p.m.
BREAKOUT SESSION
Professional Ethics: Ethical Decision-Making (Live/Webinar)
Speakers:
Rob Stirling, Retired Compliance Consultant
Matthew Fitzgerald, Chief Compliance Officer, PGIM Fixed Income
Tom Coonan, Consultant, COMPLY
1:00 p.m. - 2:00 p.m.
BREAKOUT SESSION
The Regulators’ Perspective: How Texas’s Agenda Impacts SEC And State Investment Advisers (CDS)
Moderator:
Ann Hauerland, Head of Registration and Regulatory Affairs, COMPLY
Speakers:
Cristi Ochoa , Deputy Securities Commissioner, Texas State Securities Board
Travis J. Iles , Securities Commissioner, Texas State Securities Board
2:00 p.m. - 3:00 p.m.
BREAKOUT SESSION
Innovate Like AWS: Unleashing Creativity Through Mechanism and Culture
Speakers:
Helen Johnson, Chief Technology Officer, COMPLY
Franck Noel, Head of Solutions Architects AWS SMB East, Amazon
3:00 p.m. - 3:15 p.m.
Networking Break / Meet the Exhibitors
3:15 p.m. - 4:30 p.m.
BREAKOUT SESSION
Regulatory Examinations - Investment Advisers
Speakers:
Ish Manzanares, Vice President, Advisory Consulting Services, COMPLY
Stuart Evans, Compliance Officer, The Mather Group
Regulatory Examinations - Private Funds
Speakers:
Jeff Blumberg, Partner, Faegre Drinker Biddle & Reath LLP
Max Mejiborsky, VP Compliance Services, Executive Consultant, COMPLY
Regulatory Concerns for Traditional and Off-Channel Employee Communication
Speakers:
John Van Der Wal, Senior Director, Compliance Advisory, COMPLY
Karen DeFreitas, Director, Moelis & Company LLC
COMPLY SPONSOR SESSION: Tech Spotlight Session: COMPLY RIA in a Box Platform
Speakers:
Chris DiTata, EVP, Compliance, COMPLY
Kate Schaefer, Team Lead, Sales, COMPLY
COMPLY SPONSOR SESSION: Tech Spotlight Session: COMPLY Platform
Speakers:
Bill Mahoney, Chief Customer Officer, COMPLY
Chris McGovern, Senior Manager, Post Sales Education, COMPLY
5:00 p.m. - 7:00 p.m.
COMPLYConnect 2024 Awards Reception
7:00 a.m. - 8:15 a.m.
Breakfast / Meet the Exhibitors
7:00 a.m. - 2:00 p.m.
Registration Open
7:00 a.m. - 11:30 a.m.
Exhibit Area Open
8:15 a.m. - 8:30 a.m.
Opening Remarks / Game Winners Announced
8:30 a.m. - 9:45 a.m.
BREAKOUT SESSION
CCO Liability: How Do I Know I Have Done Enough?
Speakers:
James Warren, Managing Director, Travelers
Amber Tatman, Senior Director, Compliance Advisory, COMPLY
Branch Office and Remote Location Supervision for Investment Advisers and Broker Dealers
Speakers:
Nicole Del Rosario, Senior Consultant, COMPLY
Jerry Danielson, Asst. Vice President – Field Assurance, Osaic
9:45 a.m. - 10:00 a.m.
Networking Break / Meet the Exhibitors
10:00 a.m. - 11:00 a.m.
BREAKOUT SESSION
Reg Best Interest, DOL Fiduciary Rule, and the Impact of the SEC Risk Alert
Speakers:
Parham Nasseri, VP, Product & Regulatory Strategy, InvestorCOM
Nicole Del Rosario, Senior Consultant, COMPLY
Performance Advertising: Hypothetical Performance and GIPS
Speakers:
Matt Deatherage, Partner, Longs Peak Advisory Services LLC
Kelly Igoe, Consultant, COMPLY
11:00 a.m. - 11:15 p.m.
Meet the Exhibitors / Networking Break
11:15 a.m. - 1:30 p.m.
Critical Skills for High-Performance Compliance Professionals (Live/Webinar) [with a 15 minute break to get box lunches]
Speakers:
David Lui, Co Editior, Modern Compliance Vol. 1 & 2
Karen Quill, Consultant, COMPLY
1:30 p.m. - 2:00 p.m.
Conference Wrap-Up - Hearing from the Attendees:
Practical Applications from COMPLYConnect 2024