2018 Regulatory Compliance Exchange Agenda
Wednesday, March 21, 2018
10:00 am - 6:30 pm - Registration
1:30 pm - 1:45 pm - Opening Remarks
1:45 pm - 2:45 pm - General Session 1 - Market Signals: What Are The Financial Markets Telling Us Now???
2:45 pm - 3:15 pm - Break
3:15 pm - 4:00 pm - General Session 2 - Innovation From Within
4:15 pm - 5:15 pm - Compliance Roundtable Conversations
5:15 pm - 6:30 pm - Reception
Thursday, March 22, 2018
7:15 am - 8:00 am - Breakfast
8:00 am - 8:45 am - General Session 3 - Regulatory Panel
8:45 am - 9:00 am - Break
9:00 am - 10:00 am: 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 am - 10:30 am - Break
10:30 am - 11:30 am: 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 am - 1:00 am - LUNCH
1:00 pm - 2:00 pm: 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 pm - 2:15 pm - Break
2:15 pm - 3:15 pm: 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 pm - 3:45 pm - Break
3:45 pm - 5:00 pm: Concurrent Sessions
5.1 – Compliance Innovation Lab
5.2 – No Questions Left Unanswered
5.3 – Small Company Session