ComplyConnect 2022 Agenda

Education // Technology and Culture

View 2022 Agenda   CE info
Day 1Day 2Day 3
Nov. 7, 2022

Pre-conference

 Education
12:30 - 2:30 p.m.
Pre-conference Workshop I: Women in Compliance Roundtable - Identifying and Improving Crucial Skill Sets
2:30 - 3 p.m.
Pre-conference Workshop II: Open Registration
3 - 5 p.m.
Pre-conference Workshop II: Mastering the Fundamentals - A Practical Introduction for Those New to Investment Adviser Compliance
5 - 7 p.m.
Main conference registration open
5 - 7 p.m.
Welcome reception
Nov. 8, 2022

Day 1

7 - 8:45 a.m.
Breakfast
8:45 a.m. - 9:00 a.m.
Welcome remarks / conference kick-off
9 - 10 a.m.
Keynote - Adm. William H. McRaven, USN (Ret.)
10 - 10:15 a.m.
Networking break
10:15 - 11:30 a.m.
What's Happening in DC Right Now?
11:30 a.m. - 1 p.m.
Lunch

 Education
Breakout 101
1 - 2:30 p.m.
They're Here - And the SEC is Coming! The New IA Marketing Rules for Large IA Firms & BD/DR Firms (Advanced)
Breakout 102
1 - 2:30 p.m.
They're Here - And the SEC is Coming! The New IA Marketing Rules for Small IA Firms (Advanced)
Breakout 103
1 - 2:30 p.m.
They're Here - And the SEC is Coming! The New IA Marketing Rules for Private Funds (Advanced)
Breakout 104
1 - 2:30 p.m.
Roundtable Topical Discussions
2:30 - 2:45 p.m.
Networking break
 Technology and Culture
1 - 2:00 p.m.
Meet the new ComplySci - evolving and innovating to better meed customer needs
2 - 3:00 p.m.
Cryptocurrrency and Digital Assets
3 - 4:00 p.m.
Technologies for Cybersecurity Risk Management: Endpoint Management in a Distributed Environment
 Education
Breakout 201
2:45 - 4 p.m.
SEC Proposed Cybersecurity Rule: Requirements You Must Understand Now
Breakout 202
2:45 - 4 p.m.
Documenting 401(k) and IRA Rollovers, Preparing for your First Annual Review, and More: Living with DOL PTE 2020-2
 Technology and Culture
Breakout 203
2:45 - 4 p.m.
Roundtable Topical Discussions & Learn about the IACCP® Program
Breakout 205
2:45 - 4 p.m.
Technologies for Cybersecurity Risk Management
4 - 4:15 p.m.
Meet the exhibitors / networking break
 Education
Breakout 301
4:15 - 5:15 p.m.
Understanding the SEC's Proposed ESG Rule
Breakout 302
4:15 - 5:15 p.m.
Understanding the SEC's Proposed Rule for Private Funds
Breakout 303
4:15 - 5:15 p.m.
Developing Policies and Procedures for Cryptocurrency
 Technology and Culture
Breakout 304
4:15 - 5:15 p.m.
Compliance Data and the Future
5:30 - 7 p.m.
Reception / meet the exhibitors
Nov. 9, 2022

Day 2

7 - 8:30 a.m.
Breakfast
7 - 8:30 a.m.
NRS IACCP® Designee Breakfast
8:30 - 8:45 a.m.
Opening remarks / exhibitor updates
8:45 - 9:30 a.m.
Keynote - Director of the Division of Examination of the United States Securities and Exchange Commission Richard Best
9:30 - 10:30 a.m.
Merger/Acquisition/Succession Planning: Compliance and Tech Requirements
10:30 - 10:45 a.m.
Networking break

 Education
Breakout 401
10:45 a.m. - 12 p.m.
Recent Trends in Enforcement Proceedings - IA
Breakout 402
10:45 a.m. - 12 p.m.
Recent Trends in Enforcement Proceedings - BD
 Technology and Culture
Breakout 403
10:45 a.m. - 12 p.m.
A.I. and Financial Services - WHat is its place in our highly regulated industry?
12 - 1 p.m.
Lunch
 Education
Breakout 501
1 - 3 p.m.
Professional Ethic: Ethical Decision-Making for Compliance Professionals (in-person/webinar)
Breakout 502
1 - 2 p.m.
AML and BD Responsibilities Beyond the 34 Act
Breakout 503
2 - 3 p.m.
Effective Responses to Suspected Financial Abuse and Client Illness
 Technology and Culture
Breakout 504
1 - 2 p.m.
What makes Compliance Newsworthy - Good, Bad and Ugly
Breakout 505
2 - 3 p.m.
Email and Communications Monitoring Systems
3 - 3:15 p.m.
Meet the exhibitors / networking break
 Education
Breakout 601
3:15 - 4:30 p.m.
Regulatory Examinations - Large IA Firms
Breakout 602
3:15 - 4:30 p.m.
Regulatory Examinations - BD/Dual Registrants
Breakout 603
3:15 - 4:30 p.m.
Regulatory Examinations - Small IA Firms
Breakout 604
3:15 - 4:30 p.m.
Regulatory Examinations - Private Funds
 Technology and Culture
Breakout 605
3:15 - 4:15 p.m.
Vendor Due Diligence: The Art of a Comprehensive Cybersecurity Program: Inside and Outside of your Firm's Environment
5 - 7 p.m.
Inaugural ComplyConnect Awards Reception
Nov. 10, 2022

Day 3

Registration and exhibit area are open from 7 - 11:30 a.m.
7 - 8:15 a.m.
Breakfast
8:15 - 8:25 a.m.
Opening remarks
8:25 - 8:45 a.m.
Lessons from 35 Years in Compliance
8:45 - 10 a.m.
General session: How Do I Know I Have Done Enough?
10 - 10:15 a.m.
Meet the exhibitors / networking break

 Education
Breakout 701
10:15 - 11:15 a.m.
The SEC's Proposed Cybersecurity Rule: Considerations in Vendor Management
Breakout 702
10:15 - 11:15 a.m.
Understanding Custody: Mastering Current Requirements and Preparing for the Future
Breakout 703
10:15 - 11:15 a.m.
Reg Best Interest - Lessons Learned Since 2020
 Technology and Culture
Breakout 704
10:15 - 11:15 a.m.
Technology for Implementing PTE 2020-02
11:15 - 11:30 a.m.
Meet the exhibitors / networking break
 Education
Breakout 801
11:30 a.m. - 1:30 p.m.
Critical Skills for High-performance Compliance Professionals: Effective Communication (in-person/webinar)
Breakout 802
11:30 a.m. - 12:30 p.m.
Trading for Investment Advisers: Building from the Fundamentals
Breakout 803
12:30 - 1:30 p.m.
Drafting Disclosures and Marketing Materials: Shifting Standards and New Challenges
 Technology and Culture
Breakout 804
11:30 a.m. - 12:30 p.m.
Compliance in the Modern Age
1:30 - 2:00 p.m.
Conference wrap-up / boxed lunch