2016 Regulatory Compliance Exchange Agenda
Wednesday, March 30, 2016
10:00 am - 6:00 pm - REGISTRATION
1:00 pm - 1:15 pm - WELCOME
1:15 pm - 2:15 pm - GENERAL SESSION 1: KEYNOTE SPEAKER
Soar 2 Success As a Leader
Constellation A/B
2:15 pm - 2:30 pm - REFRESHMENT BREAK
2:30 pm - 3:30 pm: CONCURRENT SESSIONS
1.1 Hot Topics in Advertising Review
Columbia/Frederick
1.2 Financial Abuse: Protecting Our Most Vulnerable Customers
Constellation A/B
1.3 Strategies to Combat Fraud
Baltimore
1.4 Annual Suitability Reports to Senior Management
Annapolis
3:30 pm - 3:45 pm - REFRESHMENT BREAK
3:45 pm - 4:45 pm: CONCURRENT SESSIONS
2.1 - Session Cancelled
2.2 Session Moved to 3.3 Timeslot
2.3 Session Moved to 5.4 Timeslot
GENERAL SESSION: DOL Definition of Fiduciary Rule: Ready or Not, Here It Comes
Constellation A/B
5:00 pm - 6:00 pm - WELCOME RECEPTION
Thursday, March 31, 2016
7:00 am - 5:00 pm - REGISTRATION
7:00 am - 8:00 am - COMPLIANCE EXECUTIVES BREAKFAST
7:15 am - 8:00 am - BREAKFAST
8:00 am - 8:10 am - WELCOME & ANNOUNCEMENTS
8:10 am - 9:00 am - GENERAL SESSION 2
Disruption Is Inevitable. How Will You Respond?
Constellation A/B
9:00 am - 10:00 am - GENERAL SESSION 3
Regulatory Update
Constellation A/B
10:00 am - 10:30 am - REFRESHMENT BREAK
10:30 am - 11:30 am: CONCURRENT SESSIONS
3.1 Going Digital: Electronic Signatures and Authentication
Chesapeake A/B
3.2 Insurance and Securities Litigation Trends
Constellation A/B
3.3 Independent Distribution Compliance: Enlightening or Frightening?
Camden
3.4 Preserving Ethics and Integrity in Our Industry: Investigating Violations of Insurers’ Codes of Conduct
Pisces
11:30 am - 1:00 pm - LUNCHEON
11:45 am - 1:00 pm - COMPLIANCE EXECUTIVES ROUNDTABLE LUNCHEON
1:00 pm - 2:00 pm: CONCURRENT SESSIONS
4.1 Compliance Risk Assessments: Let’s Play a Game
Constellation E
4.2 Clearing the Smoke: Medical Marijuana Compliance Going Forward
Constellation C
4.3 F ind the Gaps and Close Them!
Constellation A/B
4.4 Everything You Ever Wanted to Know About Multi-State Exams But Were Afraid to Ask!
Constellation D
2:00 pm - 2:15 pm - BREAK
2:15 pm - 3:15 pm - SPEED LEARNING
Atrium
3:15 pm - 3:45 pm - REFRESHMENT BREAK
3:45 pm - 4:45 pm: CONCURRENT SESSIONS
5.1 Cybersecurity: Regulatory Trends & Expectations
Constellation D
5.2 Predict to Prevent
Constellation A/B
5.3 “How Do You Do That?” Small Company Compliance
Constellation E
5.4 Compliance Teamwork - March Madness or Happiness?
Constellation D
Friday, April 1, 2016
7:15 am - 8:00 am - BREAKFAST
8:00 am - 9:00 am - GENERAL SESSION 4
Global Connections and Future Directions
Constellation A/B
9:00 am - 10:00 am - GENERAL SESSION 5
The Political Climate and Its Impact on Regulatory Trends
Constellation A/B
10:00 am - 10:30 am - REFRESHMENT BREAK AND EXHIBITOR RAFFLE
10:30 am - 11:30 am - GENERAL SESSION 6
Cyber Security in Financial Services
Constellation A/B