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 Wednesday, November 6th
9:15 AM – 10:15 AM

Keynote Session: What Happens Next? Looking Backwards to See into the Future Kennedy Ballroom

Sponsored by Nationwide

Mark Zinder is a futurist and leading trend forecaster specializing in the areas of finance and economics. As a seasoned keynote speaker, he has traveled the globe delivering more than 2,000 presentations to hundreds of thousands of people around the world. He is also a regular guest on Fox Business and CNBC, sharing his expertise and positive outlook while tackling tough questions on the future of the global economy. Mark’s extensive background spans 35 years and includes being the National Spokesman for Franklin Templeton. During that time, he worked side-by-side with Sir John Templeton, Dr. Mark Mobius, and Mr. Michael Price to hone his ability to spot trends before they become obvious. Laughing is the key to learning, and connecting with your clients is the key to success. Mark’s high-energy presentation focuses on these elements and motivates you to think differently to achieve success in today’s constantly changing world.

10:30 AM – 11:30 AM  

Fireside Chat on Regulation Best Interest featuring SEC Kennedy Ballroom

Alicia Golden, Senior Special Counsel, Securities and Exchange Commission (SEC)
Lourdes Gonzalez, Assistant Chief Counsel, Securities and Exchange Commission, (SEC)
Ben Marzouk, Counsel, Eversheds Sutherland

Description: A discussion on the SEC’s recently adopted Regulation Best Interest and Form CRS.

11:30 AM – 12:15 PM

Diminished Capacity and Elder Abuse Kennedy Ballroom

Matthew Dougherty, AML Manager, Huntington National Bank
Elizabeth Hill, Deputy General Counsel, SVP, Huntington National Bank
Barbara Mallon, Principal, Mallon & Johnson

Description: Panelists will discuss: 1) triggers to recognize diminished capacity or elder abuse, 2) procedures to have in place for all clients before any concern of diminished capacity or financial exploitation occurs, 3) what are the financial professionals’ options when the firm recognizes elder abuse or diminished capacity and its impact on the customer’s account, and 4) how the Senior Safe Act and certain State laws protect the financial professionals, what is required under them and how they may be used. The panel will focus on the above issues from a banking perspective and broker-dealer/investment adviser view to compliance.

1:15 PM – 2:00 PM

State Regulation Response to Regulation Best Interest featuring NASAA Kennedy Ballroom

Louis Dempsey, Founder and President, Renaissance Regulatory Services 
Zach Knepper, General Counsel, North American Securities Administrators Association (NASAA) 

2:00 PM – 2:45 PM

Hot Topics with FINRA Kennedy Ballroom

Kenneth Cherrier, Sr RCA Manager – AML, U.S. Bank Wealth Management
Tom Selman, Executive Vice President, Regulatory Policy and Legal Compliance Officer, The Financial Industry Regulatory Authority (FINRA)


Description: A “fireside chart” with FINRA’s Thomas Selman, Executive Vice President, Regulatory Policy, and Legal Compliance Officer. Discussion will focus around industry hot topics: 529 Plan share class initiative, FINRA’s 360 Review and the realignment of the divisions and districts, Reg BI, etc.


 *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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