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Regulatory & Compliance Summit Education
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REGISTRATION SCHEDULE SPONSORSHIP
ACCOMMODATION EDUCATION SPEAKERS

 

 Education

You may download the 2018 Regulatory & Compliance Summit Program here.

Thursday, November 15

Kennedy Ballroom

 8:00 AM – 8:30 AM

Networking Breakfast
 8:30 AM – 8:45 AM

Welcome & Opening Remarks 

Jeff Hartney, Executive Director, Bank Insurance and Securities Association (BISA) 

 8:45 AM – 9:45 AM

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

Sponsored by  

Andy Friedman, Senior Partner, Political Affairs Expert and Financial Analyst, Covington & Burling

Description: Mid-way through 2018, investors and businesses are still digesting the consequences and effects of the sweeping Tax Cuts and Jobs Act passed by Congress at the end of 2017.  Many investors remain unaware of portions of the Act that upset heretofore conventional planning for common investment decisions and financial transactions.

 

 At the White House, the Trump administration’s effort to impose tariffs on imports has roiled the markets.  Other administration initiatives seek to reduce the scope and effectiveness of the Affordable Care Act; impose new immigration restrictions and ramp up enforcement; reduce the availability of Medicaid benefits; and roll back many industry-specific regulations.  At the same time, the SEC has proposed new “broker conduct” regulations. 

 

Hanging over these efforts are the 2018 midterm elections and the expected release of the Mueller report on possible malfeasance by the Trump campaign, both of which have the potential to alter the administration’s ability to implement its programs.

Andy Friedman, an expert in political and legislative affairs, will address all of these matters in his 2018 presentations.  Among other things, he will discuss:

  • The little-understood nuances of the new Tax Act that will have a profound effect on the decisions of business owners and investors, and on financial advisors’ recommendations to their clients;
  • The likelihood of the Administration successfully implementing its tariff and other initiatives, and how those initiatives may affect the economy, the markets, specific industry sectors, and investments;
  • How the Tax Act and changes in government spending are likely to affect the country’s fiscal situation and the future direction of interest rates;
  • The scope and effect of the SEC’s proposed broker conduct regulations; and
  • How the outcomes of the Mueller investigation and the 2018 elections may alter the administration’s ability to implement its far-reaching policies.

Along the way, Andy will provide strategies that investors and financial advisors can consider to take advantage of (or protect against) market effects and volatility arising from these initiatives, as well as specific strategies for investment, wealth transfer, and retirement planning.

 9:45 AM – 10:15 AM

Fraudulent Investment Schemes–Detecting and Preventing 

Cameron Funkhouser, Executive Vice President, Office of Fraud Detection and Market Intelligence, The Financial Industry Regulatory Authority (FINRA)

Description: An overview from the front lines of FINRA's Office of Fraud Detection and Market Intelligence

 10:15 AM – 10:30 AM

Break

 10:30 AM – 11:30 PM

 Industry Regulator Panel 

Stephanie Boccio, National Bank Examiner, Asset Management Risk Specialist, Asset Management Division, Office of the Comptroller of the Currency (OCC);

 Kenneth Cherrier, Chief Compliance Officer, Comerica Securities;

John PoliseNational Associate Director of the Broker Dealer and Exchange Examination Program, Securities and Exchange Commission (SEC);

Joseph P. SavageVice President and Counsel in FINRA’s Office of Regulatory Analysis, The Financial Industry Regulatory Authority (FINRA)

 

Description: A regulatory review of 2018 and looking into 2019 with the SEC, FINRA and OCC. A focus on 2018 regulatory experiences and how the regulators work together to cover NDIP sales.

 

 11:30 AM – 12:15 PM  

 High Tech to High Touch–Considerations for Engaging a Digital Platform

Mike Abbriano, Senior Principal Consultant, ACA Compliance Group;

John W. Berglowe, Director – Head of Digital Investor Experience, Pershing;

Cynthia Foresta, VP Compliance Manager, Key Investment Services;

David W. Porteous, Chair of the Investment Management Practice, Faegre Baker Daniels LLP

Description: A discussion of the key business and compliance decisions your organization would encounter when exploring “digital advice” and bank wealth management platforms.

 12:15 PM – 1:00 PM  

Networking Lunch

 1:00 PM –2:00 PM  

Keynote Session: The Cyber Threat Landscape: Threats, Adversaries, Consequences, and the Path to Victory 

Matthew DeSarno, Special Agent in Charge of Criminal and Cyber Divisions in Washington DC, Federal Bureau of Investigation (FBI) 

 

Description: The presentation will illuminate the cyber threat across industry with a focus on the financial sector. Attendees will be exposed to real-life examples of intrusions, prevented attacks, and cyber-enabled fraud schemes.  The discussion will be focused on the value of strong public-private partnerships, the need to avoid complacency, and the consequences of failure.

 

 2:00 PM – 2:15 PM 

Break

 2:15 PM -- 3:00 PM    

 Standard Care for Investment Professionals, Managing Interest Rate Environment, and SEC Share Class Initiative 

Thomas Grygiel, Principal Consultant, ACA Compliance Group;
Ben Marzouk, Associate, Eversheds Sutherland;
David W. Porteous, Chair of the Investment Management Practice, Faegre Baker Daniels LLP

Description: With the SEC’s proposed Regulation Best Interest, and the rollback of Department of Labor’s fiduciary duty rule, there exists a great deal of uncertainty related to the standard of care that investment professionals, such as brokers and advisers, owe to their clients. Complicating the landscape even further, many states have proposed or adopted fiduciary standards that would impose an added layer of regulation on the retail client relationship. In addition, this panel will examine the changing interest rate environment and what that means for retail investors, as well as the SEC’s ongoing share class initiative and what it means for mutual fund product development.

 3:00 PM –3:45 PM 

Hot Topics Panel–A Front Line Perspective! 

Joseph Brady, Executive Director, North American Securities Administrators Association (NASAA)
Louis Dempsey, President, Renaissance Regulatory Services, Inc
Kate Ring, SVP, Advisory CCO and Head of Product & Platform Compliance, LPL Financial

Description: State Regulators have a front row seat to a wide range of trends and threats impacting the financial services industry. This panel will provide program managers and compliance officers with valuable information about the activities and initiatives in the states where their firms operate as well as industry best practices.  

 

Hot Topics:

  1. Senior/Vulnerable Adults (Trusted contact, FINRA success and failures)
  2. Cybersecurity
  3. Crypto Currency
  4. Regulation BI – Fiduciary Rules
  5. Registrations: Individuals/Offices
 3:45 PM – 4:00 PM    

Closing Comments 

Jeff Hartney, Executive Director, Bank Insurance and Securities Association (BISA) 

 4:00 PM – 5:00 PM

Joint R&C Education Committee & RCAB Meeting 

Carol Goulding, Group Vice President, M&T Securities, Inc, R&C Education Committee Chair

 

 *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.  

 

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