2017 Regulatory Compliance Exchange Agenda

Wednesday, May 10, 2017

10:00 a.m. - 6:00 p.m. - REGISTRATION

1:00 p.m. - 1:15 p.m. - WELCOME

1:15 p.m. - 2:15 p.m. - GENERAL SESSION 1

Regulatory Insights — Looking Forward In Washington

Grand Ballroom A

2:15 p.m. - 2:45 p.m. - BREAK

2:45 p.m. - 3:45 p.m.: CONCURRENT SESSIONS

1.1 Safeguarding Seniors & Other Vulnerable Adults: Emerging Regulatory Issues

Grand Ballroom A

1.2 Big Data: What Exactly Is It and How Are Firms Using It?

Arlington

1.3 DOL Conflict of Interest Rule Update - Then, Now and What's Next

Berkeley/Clarendon

3:45 p.m. - 4:00 p.m. - BREAK

4:00 p.m. - 5:00 p.m. - Compliance Roundtable Conversations

Statler

5:00 p.m. - 6:30 p.m. - WELCOME RECEPTION

Thursday, May 11, 2017

7:00 a.m. - 8:00 a.m.:

Compliance Executives Breakfast

Georgian

BREAKFAST

Grand Ballroom B

7:00 a.m. - 5:00 p.m. - REGISTRATION

8:00 a.m. - 9:15 a.m. - GENERAL SESSION 2

DOL: Where Do We Go From Here?

Grand Ballroom A

9:15 a.m. - 9:45 a.m. - BREAK

9:45 a.m. - 10:45 a.m. - GENERAL SESSION 3

Regulator Panel

Grand Ballroom A

10:45 a.m. - 11:00 a.m. - BREAK

11:00 a.m. - 12:00 p.m.: CONCURRENT SESSIONS

2.1 Market Conduct Hot Buttons

Grand Ballroom A

2.2 FiduciaryTraining for Sales and Service Professionals

Berkeley/Clarendon

2.3 Managing the Compliance Risk Associated With Third Party Administrators (TPA)

Arlington

2.4 Check It Out! What You Need to Know About Background Checks

Boylston

12:00 p.m. - 1:15 p.m.: CONCURRENT LUNCHES

Conference Lunch

Grand Ballroom B

Compliance Executives Roundtable Luncheon

Grand Ballroom B

1:15 p.m. - 2:15 p.m.: CONCURRENT SESSIONS

3.1 Innovate Compliance Talent - Are You Ready for The Future?

Arlington

3.2 Visualize This: Using Business Intelligence Tools for Compliance

Boylston

3.3 Life Insurance Without An Agent: the Challenges of Online Direct-To-Customer Sales

Grand Ballroom A

3.4 DOL Impact on Product Design and Compensation

Berkeley/Clarendon

2:15 p.m. - 2:30 p.m. - BREAK

2:30 p.m. - 3:30 p.m.: CONCURRENT SESSIONS

4.1 A View From the Outside In

Berkeley/Clarendon

4.2 Robo Advisors - Is The Future Now?

Arlington

4.3 E-Compliance: Digital Challenges in a Changing World

Grand Ballroom A

4.4 Check It Out! What You Need to Know About Agent Background Checks

3:30 p.m. - 4:00 p.m. - BREAK

4:00 p.m. - 5:00 p.m.: CONCURRENT SESSIONS

5.1 Fraud Detection, Prevention, Investigation and Current Trends

Grand Ballroom A

5.2 Multi-Cultural Markets: The Challenges and Excitement of Reaching New Customers

Berkeley/Clarendon

5.3 Best Interest Contract Exemption: Suitability and Oversight

Arlington

Friday, May 12, 2017

7:00 a.m. - 8:00 a.m. - Breakfast

8:00 a.m. - 9:00 a.m. - GENERAL SESSION 4

Innovation, Disruption and Regulatory Implications

Grand Ballroom A

9:00 a.m. - 9:30 a.m. - BREAK

9:30 a.m. - 10:30 a.m. - GENERAL SESSION 5

Managing Cybersecurity & Data Privacy Risk: The Importance of Collaboration

Grand Ballroom A

10:45 a.m. - 11:45 a.m. - GENERAL SESSION 6

DOL: The Silver Lining

Grand Ballroom A

11:45 a.m. - CONFERENCE ADJOURNS