Print Page   |   Sign In   |   Register
Regulatory & Compliance Summit
Share |




This invitation-only event is a two-day, member-only event held in Washington, DC at the Mandarin Oriental. Designed to bring together program executives and compliance officers from across the bank insurance and securities industry, this event helps leaders learn about and discuss pressing regulatory and compliance issues.Education sessions will occur on Tuesday, November 14th, and be presented by BISA’s Regulatory & Compliance Advisory Board, which consists of regulatory firms and consulting companies. 

Session presentations can be accessed by following the links in the session titles below.


Monday, November 13

 12:00 PM - 3:00 PM 

 Board of Directors Meeting

 Gallery Room 

 3:00 PM - 7:30 PM

 Registration Opens

 Oriental Ballroom Foyer

 3:30 PM - 5:00 PM

 Regulatory & Compliance Officer Peer Group Discussion

 Gallery Room 

 4:00 PM – 5:00 PM

 Steering Committee Meeting

 Hillwood Room 

 5:00 PM – 6:00 PM   

 Joint Meeting of the Board of Directors & LAB

 Trends that will Reshape Our Channel, Stathis Partners Presentation

 Oriental Ballroom

 6:00 PM – 7:30 PM    

 Networking Reception

 Hillwood Room 


Tuesday, November 14

 7:30 AM – 9:00 AM  

 Registration Opens

 Grand Ballroom Foyer

 8:00 AM – 8:30 AM

 Networking Breakfast

 Grand Ballroom Foyer

 8:30 AM – 8:45 AM

 Welcome & Opening Remarks

 Grand Ballroom

 8:45 AM – 9:15 AM 

 The Retirement Security Blueprint: Politics and Policy

 Grand Ballroom

 9:15 AM – 10:15 AM

 The Washington Update: An Overview of the Political Environment, Prospective   Legislation, and Strategies for Investment and Retirement Planning

 Grand Ballroom

 10:15 AM – 10:30 AM


 Grand Ballroom Foyer

 10:30 AM – 11:30 PM

 Industry Regulator Panel (FINRA & SEC)

 Grand Ballroom

 11:30 AM – 12:15 PM  

  A Uniform Fiduciary Standard of Care: Federal and State Efforts to Impose a Fiduciary   Standard

 Grand Ballroom

 12:15 PM – 1:15 PM  

 Networking Lunch

 Grand Ballroom Foyer

 1:15 PM –2:15 PM  

 Three Lines of Defense: A Risk Governance Framework

 Grand Ballroom

 2:15 PM – 2:30 PM 


 Grand Ballroom Foyer

 2:30 PM -- 3:15 PM    

 Compensation and Conflicts – Building an Effective Compliance Program

 Grand Ballroom

 3:15 PM –3:30 PM 

 Closing Comments

 3:30 PM – 4:30 PM    

 Joint R&C Education Committee & RCAB Meeting

 Grand Ballroom


 *Please note this schedule is tentative and subject to change. 

*More information will be made available in the near future. Please contact BISA at (202) 367-1111 with any questions.  


Latest News
more Calendar

The upcoming calendar is currently empty.

Click here to view past events and photos »

Association Management Software Powered by YourMembership  ::  Legal