ComplyConnect Agenda

Education // Technology and Culture

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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

Registration and exhibit hall are open 7 a.m. to 5 p.m.
7 - 8:30 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.
General session: What's Happening in DC?
11:30 a.m. - 1 p.m.
Lunch / meet the exhibitors

 Education
Breakout 101
1 - 2:30 p.m.
Living with the New IA Marketing Rule - Large IA firms and BD/DR Firms
Breakout 102
1 - 2:30 p.m.
Living with the New IA Marketing Rule - Small IA Firms
Breakout 103
1 - 2:30 p.m.
Living with the New IA Marketing Rule - Private Funds
Breakout 104
1 - 2:30 p.m.
Roundtable Topical Discussions (IA/BD) (all levels)
 Technology and Culture
1 - 2:30 p.m.
Cryptocurrencies and Digital Assets
2:30 - 2:45 p.m.
Networking break
 Education
Breakout 201
2:45 - 4 p.m.
SEC Proposed Rule: Cybersecurity
Breakout 202
2:45 - 4 p.m.
Documenting 401(k) and IRA Rollovers and More: Requirements and Status of DOL PTE 2020-2
Breakout 203
2:45 - 4 p.m.
Roundtable Topical Discussions (about the IACCP® Program)
 Technology and Culture
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
4:15 - 5:15 p.m.
TBA
5:30 - 7 p.m.
Reception / meet the exhibitors
Nov. 9, 2022

Day 2

Registration and exhibit hall are open 7 a.m. to 5 p.m.
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 - 10:30 a.m.
Perspectives from SEC, FINRA and NASAA Regulators
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.
ESG Compliance Tracking and Reporting Tools
Breakout 404
10:45 a.m. - 12 p.m.
What Makes Compliance Newsworthy - Good, Bad and Ugly
12 - 1 p.m.
Lunch
 Education
Breakout 501
1 - 3 p.m.
Professional Ethics (in-person/webinar)
Breakout 502
1 - 2 p.m.
AML and BD Responsibilities Beyond the 34 Act
Breakout 503
2 - 3 p.m.
Developing Procedures for Suspected Financial Abuse and Client Illness
 Technology and Culture
1 - 2 p.m.
Implementing an Effective Compliance Control Room
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
3:15 - 4:30 p.m.
TBD
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 / game winners announced
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: Fundamentals and Beyond
Breakout 703
10:15 - 11:15 a.m.
Reg Best Interest - Lessons Learned Since 2020
 Technology and Culture
10:15 - 11:15 a.m.
Recordkeeping Systems - Local and Cloud-based
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 (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
10:15 - 11:15 a.m.
Valuation and Due Diligence in Private Market Asset Classes
12:30 - 1:30 p.m.
TBD
1:30 - 2:00 p.m.
Conference wrap-up / boxed lunch