2019 Regulatory Compliance Exchange Agenda

Wednesday, April 10, 2019

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

1:00 p.m. - Welcome

1:15 p.m. - 2:00 p.m. - General Session

Regulatory Insights in a Time of Disruption and Change

2:00 p.m. - 2:45 p.m. - General Session

New York State of Mind – Take 2

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

3:15 p.m. - 4:15 p.m.: Concurrent Sessions

WS 1.1 - In a New York Minute...
WS 1.2 - #MeToo - The Cultural Shift
WS 1.3- Blockchain in Insurance – Imagining the Implications
WS 1.4- Marketing by Text or Phone – Compliance Consideration

4:15 p.m. - 4:30 p.m. - Refreshment Break

4:30 p.m. - 5:30 p.m. - Compliance Roundtables

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

Thursday, April 11, 2019

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

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

8:00 a.m. - 9:00 a.m. - General Session

From Rules to Risk to Influence

9:00 a.m. - 9:30 a.m. - Refreshment Break

9:30 a.m. - 10:30 a.m.: Concurrent Sessions

WS 2.1 - Navigating the Vulnerable Adult Landscape
SESSION CANCELLED - WS 2.2 - Should Issuers Get in Your Genes?
WS 2.3 - Recruiting & Retaining Talent in Compliance
WS 2.4 - The Right to Be Forgotten: Managing the New Privacy Laws’ Challenges

10:30 a.m. - 10:45 a.m. - Refreshment Break

10:45 a.m. - 12:00 p.m. - General Session

Conversation with Regulators

12:00 p.m. - 1:15 p.m. - Luncheon

1:15 p.m. - 2:15 p.m. - General Session

Fraud on the Frontlines

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

2:45 p.m. - 3:45 p.m.: Concurrent Sessions

WS 3.1 - Account Takeovers: You Gave My Money to Whom?
SESSION CANCELLED - WS 3.2 - Thinking of Reorganizing? The Devil’s in the Details
WS 3.3 - Raising the Bar: Strengthening AML Compliance Through Technology
WS 3.4 - Market Conduct and Suitability - Lessons Learned

3:45 p.m. - 4:00 p.m. - Refreshment Break

4:00 p.m. - 5:00 p.m.: Concurrent Sessions

WS 4.1 - Managing the Registered Separate Account (38a-1) Compliance Program
WS 4.2 - Robo-Advisors – Present and Future
WS 4.3 - Big Data: Big Opportunity or Big Problem?

Friday, April 12, 2019

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

8:00 a.m. - 8:50 a.m. - General Session

Markets in Transition: How Will the Industry Evolve?

8:50 a.m. - 9:10 a.m. - Refreshment Break

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

Cybersecurity

10:00 a.m. - 10:15 a.m. - Refreshment Break

10:15 a.m. - 11:00 a.m. - General Session

Who Else Does This?

11:00 a.m. - Adjourment