COMPLYConnect
2023 Agenda
Stay tuned for future updates!
Submit Community Session Continuing Education (CE) Info-
Nov. 6
2023Pre-Conference
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12:30 p.m. - 2:30 p.m.
Pre-Conference Workshop 1:
Mastering the Fundamentals: A Practical Introduction for Those New to Investment Adviser Compliance
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3:00 p.m. - 5:00 p.m.
Pre-Conference Workshop 2:
Modern COMPLYance Women Roundtable: Identifying and Improving Crucial Skill Sets
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5:00 p.m. - 7:00 p.m.
Main Conference Registration Open
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5:00 p.m. - 7:00 p.m.
Welcome Reception
Speakers:
Tom Coonan, COMPLY
Ann Hauerland, COMPLY
David Lui, Modern Compliance Vol. 1 & 2
Speakers:
Karen Aavik, Flagstar Bank
Karen DeFreitas, Moelis & Company LLC
Marilyn Miles, COMPLY
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12:30 p.m. - 2:30 p.m.
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Nov. 7
2023Day 1
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7:00 a.m. - 5:30 p.m.
Registration Open
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7:00 a.m. - 5:00 p.m.
Exhibit Area Open
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7:00 a.m. - 8:30 a.m.
Breakfast / Meet the Exhibitors
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8:30 a.m. - 8:45 a.m.
Welcome Remarks / Conference Kick-Off
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8:45 a.m. - 10:00 a.m.
SEC Keynote Address: The 2024 SEC Examination Priorities
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10:00 a.m. - 10:15 a.m.
Networking Break / Meet the Exhibitors
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10:15 a.m. - 11:30 a.m.
General Session - What's Happening in DC Now?
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11:30 a.m. - 1:00 p.m.
Lunch
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12:30 p.m. - 1:00 p.m.
Egnyte Sponsor Presentation / Demo
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1:00 p.m. - 2:30 p.m.
Investment Adviser Marketing Rule, A Year Later - IA Firms & BD/DR Firms
BREAKOUT SESSION -
1:00 p.m. - 2:30 p.m.
Investment Adviser Marketing Rule, A Year Later - Private Funds
BREAKOUT SESSION -
2:30 p.m. - 2:45 p.m.
Networking Break / Meet the Exhibitors
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2:45 p.m. - 3:45 p.m.
Recent Trends in Enforcement Proceedings - IA
BREAKOUT SESSION -
2:45 p.m. - 3:45 p.m.
Department of Labor Initiatives – Key Considerations Now and Going Forward
BREAKOUT SESSION -
2:45 p.m. - 3:45 p.m.
Recent Trends in Enforcement Proceedings - BD
BREAKOUT SESSION -
3:45 p.m. - 4:00 p.m.
Networking Break / Meet the Exhibitors
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4:00 p.m. - 5:00 p.m.
Understanding the SEC's Proposed ESG Rule
BREAKOUT SESSION -
4:00 p.m. - 5:00 p.m.
Understanding the SEC's Proposed Rule for Safeguarding Client Assets
BREAKOUT SESSION -
4:00 p.m. - 5:00 p.m.
Highs and Lows of Cryptocurrency in Today’s Market
BREAKOUT SESSION -
5:00 p.m. - 5:30 p.m.
COMPLY (Crypto) Sponsor Presentation / Demonstration
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5:30 p.m. - 7:00 p.m.
Reception
Speakers:
J. Cindy Eson, Associate Regional Director, Examinations, Los Angeles Regional Office, U.S. Securities & Exchange Commission
Speakers:
Sanjay Lamba, Investment Adviser Association
John Walsh, Eversheds Sutherland (US) LLP
Speakers:
Mario Chilin, EP Wealth Advisors
Kelly Igoe, COMPLY
Speakers:
Max Mejiborsky, COMPLY
David Solander, McDermott Will & Emery LLP
Ryan Hinson, Los Angeles Regional Office, U.S. Securities & Exchange CommissionSpeakers:
Elizabeth M. Knoblock, Elizabeth M. Knoblock, PLLC
John Walsh, Eversheds Sutherland (US) LLP
Speakers:
Will Littrell, COMPLY
Rob Stirling, Retired COMPLY Executive Consultant
Craig Watanabe, DFPG Investments, LLC
Speakers:
Nicole Del Rosario, COMPLY
Ken Dunn, Jamboree Securities Consulting
Speakers:
Jessica Alvarez, COMPLY
Speakers:
Larry Stadulis, Stradley Ronon Stevens & Young LLP
Amber Tatman, COMPLY
Speakers:
Hovig Melkonian, COMPLY
Jonté Harrell, Zenledger
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7:00 a.m. - 5:30 p.m.
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Nov. 8
2023Day 2
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7:00 a.m. - 5:30 p.m.
Registration Open
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7:00 a.m. - 5:00 p.m.
Exhibit Area Open
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6:00 a.m. - 7:00 a.m.
Morning Yoga
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7:00 a.m. - 8:15 a.m.
Breakfast - General Attendance / Meet the Exhibitors
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7:00 a.m. - 8:15 a.m.
IACCP Designee Breakfast
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8:30 a.m. - 8:45 a.m.
Opening Remarks / Exhibitor Updates
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8:45 a.m. - 9:35 a.m.
SEC Keynote Address: Building Relationships in a Time of Change: Using Social and Digital Media to Educate and Protect Retail Investors
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9:45 a.m. - 10:45 a.m..
Generative AI: Embracing Innovation While Mitigating Risk
BREAKOUT SESSION -
9:45 a.m. - 10:45 a.m.
Mergers, Acquisitions, and Exit Opportunities Considerations
BREAKOUT SESSION -
9:45 a.m. - 10:45 a.m.
Community-Driven Session: Private Fund Reforms
BREAKOUT SESSION -
10:45 a.m. - 11:00 a.m.
Networking Break / Meet the Exhibitors
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11:00 a.m. - 12:00 p.m.
The Impact of Outsourcing: Vendor Due Diligence
BREAKOUT SESSION -
11:00 a.m. - 12:00 p.m.
SEC Proposed Rule on Cybersecurity and Client Data Protection for IA and BD Firms
BREAKOUT SESSION -
11:00 a.m. - 12:00 p.m.
Community-Driven Session: Documentation of Your Annual Review
BREAKOUT SESSION -
12:00 p.m. - 1:00 p.m.
Lunch
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1:00 p.m. - 3:00 p.m.
Professional Ethics: Ethical Decision-Making for Compliance Professionals (Live/Webinar)
BREAKOUT SESSION -
1:00 p.m. - 2:00 p.m.
Private Investment Trends Amongst Investment Advisers and Broker Dealers
BREAKOUT SESSION -
2:00 p.m. - 3:00 p.m.
Developing Procedures for Suspected Financial Abuse and Vulnerable Clients
BREAKOUT SESSION -
3:00 p.m. - 3:15 p.m.
Networking Break / Meet the Exhibitors
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3:15 p.m. - 4:30 p.m.
Regulatory Examinations - Registered IA Firms
BREAKOUT SESSION -
3:15 p.m. - 4:30 p.m.
Regulatory Examinations - Private Fund Advisers
BREAKOUT SESSION -
3:15 p.m. - 4:30 p.m.
Managing the Technology for Traditional and Off-Channel Employee Communication
BREAKOUT SESSION -
4:30 p.m. - 5:00 p.m.
COMPLY (MRC) Sponsor Presentation / Demo
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5:00 p.m. - 7:00 p.m.
COMPLYConnect 2023 Awards Reception
Speakers:
M. Owen Donley, III, Chief Counsel, Office of Investor Education and Advocacy, U.S. Securities & Exchange Commission
Speakers:
Karen DeFreitas, Moelis & Company LLC
Helen Johnson, COMPLY
Speakers:
Mederic Daigneault, Carlton Fields
Ish Manzanares, COMPLY
Speakers:
Max Mejiborsky, COMPLY
Jeff Blumberg, Faegre Drinker Biddle & Reath, LLP
Speakers:
Hovig Melkonian, COMPLY
Larry Nakamura, CORIENT
Speakers:
Michael Cocanower, AdviserCyber
Jason Vinsonhaler, COMPLY
Speakers:
Kelly Igoe, COMPLY
Torian Erker, Mercer Advisors
Speakers:
Matt Fitzgerald, PGIM Fixed Income
Rob Stirling, Retired COMPLY Executive Consultant
Craig Watanabe, DFPG Investments, LLC
Speakers:
Annemarie Donegan, PitchBook
John Gebauer, COMPLY
Speakers:
Tom Coonan, COMPLY
Janice Powell, DFPG Investments, LLC
Speakers:
Ish Manzanares, COMPLY
Larry Nakamura, CORIENT
Speakers:
Jeff Blumberg, Faegre Drinker Biddle & Reath LLP
John Van Der Wal, COMPLY
Speakers:
Jessica Alvarez, COMPLY
Robert Cruz, Smarsh
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7:00 a.m. - 5:30 p.m.
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Nov.9
2023Day 3
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7:00 a.m. - 2:00 p.m.
Registration Open
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7:00 a.m. - 11:30 a.m.
Exhibit Area Open
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6:45 a.m. - 7:45 a.m.
Morning Walk
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7:00 a.m. - 8:15 a.m.
Breakfast / Meet the Exhibitors
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8:15 a.m. - 8:30 a.m.
Opening Remarks / Game Winners Announced
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8:30 a.m. - 9:45 a.m.
How Do I Know I Have Done Enough? - CCO Liability
BREAKOUT SESSION -
8:30 a.m. - 9:45 a.m.
Regulation Best Interest - the Impact of the Current SEC Risk Alerts
BREAKOUT SESSION -
9:45 a.m. - 10:00 a.m.
Networking Break / Meet the Exhibitors
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10:00 a.m. - 11:00 a.m.
The SEC's Proposed Cybersecurity Rule
BREAKOUT SESSION -
10:00 a.m. - 11:00 a.m.
Understanding Custody: Practical Examples of SEC's Findings Relating to Private Funds, Third Party Vendors, and more!
BREAKOUT SESSION -
11:00 a.m. - 11:15 a.m.
Networking Break / Meet the Exhibitors
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11:15 a.m. - 12:15 p.m.
Part I - Critical Skills for High-Performance Compliance Professionals: Closing the Circle: Matching Advertising, Contract, Disclosures and Procedures (Live/Webinar)
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11:15 a.m. - 12:15 p.m.
Branch Office and Remote Location Supervision
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12:15 p.m. - 12:30 p.m.
Break to Pick-Up Boxed Lunches
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12:30 p.m. - 1:30 p.m.
Part II - Critical Skills for High-Performance Compliance Professionals: Closing the Circle: Matching Advertising, Contract, Disclosures and Procedures (Live/Webinar)
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12:30 p.m. - 1:30 p.m.
Community-Driven Session: Trading Practices for Investment Advisers
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1:30 p.m. - 2:00 p.m.
Conference Wrap-Up - Hearing from the Attendees:
Practical Applications from COMPLYConnect 2023
Speakers:
Amber Tatman, COMPLY
James Warren, Travelers
Speakers:
Nicole Del Rosario, COMPLY
Parham Nasseri, InvestorCOM Inc.
Speakers:
Karen Aavik, Flagstar Bank
Jason Vinsonhaler, COMPLY
Speakers:
Max Mejiborsky, COMPLY
Cassandra Borchers, Thompson Hine LLP
Speakers:
David Lui, Modern Compliance Vol. 1 & 2
Marilyn Miles, COMPLY
Speakers:
Kevin Turton, MMA Securities & MMA Asset Management
John Van Der Wal, COMPLY
Speakers:
David Lui, Modern Compliance Vol. 1 & 2
Marilyn Miles, COMPLY
Speakers:
Will Littrell, COMPLY
Nathaniel Segal, Vedder Price P.C.
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7:00 a.m. - 2:00 p.m.