2018 Regulatory Compliance Exchange Agenda

Wednesday, March 21, 2018

10:00 a.m. - 6:30 p.m. - Registration

1:30 p.m. - 1:45 p.m. - Opening Remarks

1:45 p.m. - 2:45 p.m. - General Session 1 - Market Signals: What Are The Financial Markets Telling Us Now???

2:45 p.m. - 3:15 p.m. - Break

3:15 p.m. - 4:00 p.m. - General Session 2 - Innovation From Within

4:15 p.m. - 5:15 p.m. - Compliance Roundtable Conversations

5:15 p.m. - 6:30 p.m. - Reception

Thursday, March 22, 2018

7:15 a.m. - 8:00 a.m. - Breakfast

8:00 a.m. - 8:45 a.m. - General Session 3 - Regulatory Panel

8:45 a.m. - 9:00 a.m. - Break

9:00 a.m. - 10:00 a.m.: Concurrent Sessions

1.1 – FBI: Fraud Beyond Identification
1.2 – Compliance as Your Valued Business Partner
1.3 – I Spy…Components of an Effective Surveillance Program

10:00 a.m. - 10:30 a.m. - Break

10:30 a.m. - 11:30 a.m.: Concurrent Sessions

2.1 – Do You Really Know Your Customer?
2.2 – Independent Distribution, Challenges & Solutions
2.3 – Risk Based Supervision in the Digital Age
2.4 – Recognizing Financial Exploitation – a Regulatory and Ethical Imperative

11:30 a.m. - 1:00 a.m. - LUNCH

1:00 p.m. - 2:00 p.m.: Concurrent Sessions

3.1 – I’ve Never Met Them in Person
3.2 – Risky Business
3.3 – What Are You Trying to Say? Making Your Marketing Materials More Effective

2:00 p.m. - 2:15 p.m. - Break

2:15 p.m. - 3:15 p.m.: Concurrent Sessions

4.1 – Proactive Analytics for Sales Practices Review
4.2 – You Want to Do What? Supervising Outside Business Activities
4.3 – What Does Innovation Really Mean?
4.4 – Operationalizing Your Fraud, AML and Cyber Programs for Efficiency and Effectiveness

3:15 p.m. - 3:45 p.m. - Break

3:45 p.m. - 5:00 p.m.: Concurrent Sessions

5.1 – Compliance Innovation Lab
5.2 – No Questions Left Unanswered
5.3 – Small Company Session

5:00 p.m. - Enjoy New Orleans! (On your own)

Friday, March 23, 2018

7:15 a.m. - 8:00 a.m. - Breakfast

8:00 a.m. - 9:00 a.m. - General Session 4 - A New York State of Mind

9:00 a.m. - 9:15 a.m. - Break

9:15 a.m. - 10:15 a.m. - General Session 5 - Cyber Security: The Role of Compliance in a Constantly Changing World

10:15 a.m. - 10:30 a.m. - Break

10:30 a.m. - 11:15 a.m. - General Session 6 - What's an Ethical Culture, Why It Matters, and What It Takes

11:15 a.m. - Adjournment