2019 Regulatory Compliance Exchange Agenda
Wednesday, April 10, 2019
10:00 am - 6:30 pm - Registration
1:00 pm - Welcome
1:15 pm - 2:00 pm - General Session
Regulatory Insights in a Time of Disruption and Change
2:00 pm - 2:45 pm - General Session
New York State of Mind – Take 2
2:45 pm - 3:15 pm - Refreshment Break
3:15 pm - 4:15 pm: 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 pm - 4:30 pm - Refreshment Break
4:30 pm - 5:30 pm - Compliance Roundtables
5:30 pm - 6:30 pm - Welcome Reception
Thursday, April 11, 2019
7:00 am - 5:00 pm - Registration
7:15 am - 8:00 am - Networking Breakfast
8:00 am - 9:00 am - General Session
From Rules to Risk to Influence
9:00 am - 9:30 am - Refreshment Break
9:30 am - 10:30 am: 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 am - 10:45 am - Refreshment Break
10:45 am - 12:00 pm - General Session
Conversation with Regulators
12:00 pm - 1:15 pm - Luncheon
1:15 pm - 2:15 pm - General Session
Fraud on the Frontlines
2:15 pm - 2:45 pm - Refreshment Break
2:45 pm - 3:45 pm: 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 pm - 4:00 pm - Refreshment Break
4:00 pm - 5:00 pm: 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 am - 8:00 am - Networking Breakfast
8:00 am - 8:50 am - General Session
Markets in Transition: How Will the Industry Evolve?
8:50 am - 9:10 am - Refreshment Break
9:10 am - 10:00 am -
Cybersecurity
10:00 am - 10:15 am - Refreshment Break
10:15 am - 11:00 am - General Session
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