Regulatory
Compliance Watch
Compliance Watch
The Full 360° Compliance View New York 2020
4 - 5 November 2020,
Crowne Plaza Times Square
Conference Cancelled
It is with deep regret that we announce the cancellation of this year’s Forum due to the impact of the novel Coronavirus (COVID-19) outbreak. This is not a decision we have taken lightly and the overriding concern that have caused us to make this decision at this time has always been the responsibility we feel towards our conference delegates, speakers, and partners.
We apologize for any inconvenience caused, but as always, the safety and health of our participants, community and staff are our priority and we feel this is the best option.
If you have any questions, please contact regny@peimedia.com
To view our terms and conditions, click here.
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What the 2020 conference has to offer
Post-Workshop – SEC Exam Preparation (extra charge $395) – Designed for compliance and financial-reporting professionals like yourself, this interactive, in-depth workshop will help you gain insights on how to best prepare for a SEC Exam.
Chief Compliance Officer Think-Tank (Invite Only) – exchange strategies and best practices to rejuvenate your compliance programs in an intimate setting.
Networking Roundtables
Participate in an exchange of lessons learned & best practices on the compliance issue of your choice. Choose from: developing a training program; fees and expenses/cash solicitation; working with senior clients; and overcoming the challenges women face.
2020 Speakers
WHO ATTENDS
– CCOs / Compliance Officers
– In-House Legal and Compliance Personnel
– General Counsels & Outside Counsels
– Senior Officers and Executives
– Principals
– CFOs
– CEOs and Presidents
– Chief Information Security Officers
– CTOs and IT Directors
– Directors of Operation
– Senior VPs
TOP REASONS TO ATTEND
– Hear directly from SEC officials
– Gain best practices to improve your compliance program
– Be aware of hot compliance issues coming your way
– Earn up to 13.5 CLE/CPE credits for the Main Conference and Post-Conference Workshop
– Find answers to your toughest compliance challenges
– Go home with RCW’s exclusive compliance toolkit including checklists, worksheets, templates, P&Ps and much more
– Pose your most penetrating questions to industry experts and take home proven exam-prep tips
– Two-days packed with sessions covering SEC exams, fiduciary duty/best interest rule, cybersecurity, advertising & social media, business continuity planning, a regulatory update, and more
SEE WHAT OUR ATTENDEES HAVE TO SAY
Diane Miller,
Chief Financial Officer, Christian Brothers Investment Services
The conference topics were both interesting and useful. The day flew by and I have lots of useful ideas to bring back!
Dennis W. Lloyd,
Founder & President, Columbia Capital Management
The level of expertise of the panelists was impressive!
Diane Cortese,
Assistant Director of Compliance, Principal Global Investors
The panel setting worked well and encouraged good dialogue. Lots of real world examples provided. This conference was very helpful and informative!
Current & Past Attending Companies Include:
View agenda page
Agenda
Full Agenda - Wednesday 4th
Day 1
07:30 - 08:25
Registration: Meet our exhibitors and enjoy a breakfast
07:30 - 08:25
CCO-Only Think Tank (invite-only)
08:25 - 08:30
Chairman welcome by Hugh Kennedy
Hugh Kennedy
Group Publisher
Regulatory Compliance Watch
10:00 - 09:00
Keynote Address by the SEC
- The current focus areas of the National Exam Program
- The most common deficiencies found and how to avoid them
- Common practices that yield results with exam staff
- How OCIE and compliance can work together
- A preview of the SEC’s priorities for the coming year
09:00 - 11:30
Ensure you are aware and ready for upcoming regulatory changes
Hugh Kennedy
Group Publisher
Regulatory Compliance Watch
The coronavirus may have slowed SEC rulemaking and forced the Commission to focus on near-term regulatory relief, but the rulemaking calendar is sure to ramp up again. Our panel will tackle the hot issues of the day, from the lessons learned from operating under Reg BI and Form CRS for four months to the current status of the long-awaited changes to the Advertising rule. Gain a sense of what is coming down the pike that will impact your compliance program going forward.
10:00 - 10:30
Networking break
10:30 - 11:30
Business Continuity Planning: How has compliance adapted to the Covid-19 reality
An emergency can throw a wrench into your firm’s daily business operations at a moment’s notice. A stellar Business Continuity Plan will be key in aiding your preparedness. To help, our panel will address:
- Real-life disaster stories straight from your peers and the lessons they learned along the way
- The importance of plan testing:
- Does your plan go far enough?
- Proven ways to thoroughly test your plan
- Who in your firm should be involved in testing
- New P&Ps put in place to respond to a pandemic
- How firms have adapted to the WFH environment
- OCIE’s focus on BCPs and what examiners expect to see
11:30 - 12:30
Lessons learned and the most important takeaways since their implementation
Form CRS and Regulation Best Interest officially kicked in on June 30 and it took some work to come into compliance. Our panel will explore any difficulties encountered in implementation, what’s working and what’s not, lessons learned and what might be changed going forward. The panel will also address:
- OCIE and FINRA’s current exam focus (is a “good faith” effort truly enough?)
- Some of the hallmarks of disclosure(e.g.,“plain-English”)
- The compliance controls that have been implicated by Reg BI and Form CRS
- What firms should be cognizant of to remain in compliance
- Potential enforcement concerns that may arise
12:30 - 13:00
Networking Lunch
13:30 - 14:30
Breakout Session: Strategies for effectively identifying, disclosing, and mitigating conflicts of interest
Conflicts of interest come in many shapes and sizes and are not always easy to spot. You will leave this session with the tools you need to effectively identify, disclose, and mitigate your firm’s conflicts. Our panel will detail:
- Common conflicts related to advisory activities
- How to inventory and risk-rank material conflicts of interest
- Practical training pointers to highlight and mitigate conflicts for your firm
- How you should disclose conflicts on your Form ADV
- Best practices contained in conflicts P&Ps
- Recommendations for tracking employees’ gifts and entertainment, personal trading, outside business activities, and political contributions
13:30 - 14:30
Breakout Session: Understanding what can trigger a custody status
The custody rule is complex and comes with a patchwork of regulator FAQs that can be daunting to digest. You will leave this session with best practices and resources to clarify your understanding of the custody rule. We will help demystify custody by reviewing:
- What does and does not constitute custody
- How you can best handle “inadvertent” custody
- Peer-proven best practices to ensure you are compliant
- What variables you should consider in reviewing your firm’s P&Ps
- What processes you should have in place to be prepared for your annual surprise exam
- Custody issues that came up on recent OCIE examinations
14:30 - 15:00
Post-election briefing: What does the election result mean for the industry
No one can deny the potentially profound consequences of the election outcome on the industry. During this panel’s discussion, we will examine the implications as well as potential course of action the industry may take as it looks to the future. Additionally, we will analyze what the result may mean for the rulemaking efforts of the SEC, FINRA, and other regulators.
15:00 - 15:30
Networking break
15:30 - 16:15
Examining ways to ease your compliance burdens through technology
As the amount of responsibilities under Compliance’s domain continues to grow, it is increasingly important to operate with a system that is as precise, organized, and effective as possible to promote cost-saving. Oftentimes, this means automating processes wherever possible. You will leave this session with a guide on how to identify functions ripe for automation that will make your compliance program run as smoothly and efficiently as possible. Our panel will review:
- How technology can help you manage and monitor your firm’s electronic communications, trade surveillance, document management, COE, investment restrictions, and case management
- How you can find a balance between manual and automated compliance that will minimize error and maximize effectiveness
- What you need to consider when vetting research automation tools
- How you can test your automation tools
- Some recommended technology resources utilized by your peers
16:15 - 17:15
Best practices from your peers
During these unique roundtable discussions, you will have an opportunity to sit down with your peers and participate in an exchange of lessons learned and best practices on the compliance issue of your choice. Choose from the following:
- Developing a training program
- Fees and expenses/cash solicitation
- Working with senior clients
- Overcoming the challenges women face in compliance
17:15 - 18:15
Cocktail Reception
Agenda
Day 2 - Thursday 5th
Day 2
07:45 - 08:25
Breakfast
08:25 - 08:30
Welcome back from Hugh Kennedy
Hugh Kennedy
Group Publisher
Regulatory Compliance Watch
08:30 - 09:30
SEC Keynote & Super Session
- Suggested steps you can take throughout the year to increase your exam preparedness
- Which documents are most often included in an OCIE document request list
- The importance of an open dialogue with exam staff
- Who in your firm should be involved in the Day 1 presentation and throughout the exam process
- How to respond to your firm’s deficiency letter in a meaningful way
09:30 - 10:30
Analyzing the current proposal/rule and what you need to do now to remain compliant
Not since the 1960s has the SEC’s Advertising and Marketing rule been amended and everyone agrees it is high time for an update. The Commission stepped up and proposed a new rule exactly one year before the start of this conference. The panel will address the current status of the rule and provide critical insight on what’s changed, what’s new, and when you have to come into compliance. Covered will be such items as:
- How the definition of an “advertisement” has changed
- How no-action letters and broad provisions of the Advisers Act will be replaced
- The details on new advertising prohibitions
- Whether testimonials and endorsement are permitted
- The new requirement for performance information
- How social media and advertising practices of today are addressed
- Governance considerations you should be addressing
- The timing of a compliance deadline
10:30 - 10:45
Refreshment Break
10:45 - 11:30
Being a part of the business: How does compliance continue to show value and be an integral team member
A disconnect between a CCO and the rest of the C-suite could result in a firm being unprepared for a potential crisis. Leave the discussion with action items that will bridge the gap between your firm’s CCO and C-suite in a way that fosters your firm’s compliance. The panel will cover such items as:
- How to present your compliance program in a way that conveys the critical role it plays in your firm’s overall success
- How you can lead a compliance program that promotes an open line of communication with all staff
- The most effective ways to report your annual review/compliance violations to senior management
- How to make sure your firm displays a compliance “tone at the top”
- How best to handle wearing multiple hats
11:30 - 12:30
Practical pointers for maintaining a robust cybersecurity compliance program
Cybersecurity is often cited as SEC-registered investment advisers’ #1 challenge. While the SEC fully understands that CCOs aren’t necessarily tech savvy, the Commission does expect compliance professionals to understand the risks posed to their firms and to develop P&Ps to mitigate those risks. This session will give you the tools to create not only robust cyber P&Ps but also a thorough cyber vendor management process that you can apply to managing your other vendors as well.
The main points of discussion will include:
- Current cyber trends to be aware of that are impacting the financial services industry
- How the SEC is examining for cyber readiness
- What the Commission’s expectation is for compliance
- The main elements that should comprise your vendor management process
12:30 - 13:30
Lunch and Closing Remarks
13:30 - 13:30
Conference Ends
SEC EXAM PREPARATION WORKSHOP
13:45 - 14:45
Before examiners arrive
14:45 - 15:45
During the exam
15:45 - 16:00
Refreshment break
16:00 - 17:00
After the exam
2020 Post-Workshop Coming Soon
For speaking opportunities, please contact:
Alma Subasic | Conference Producer | T: 646-356-4521 | E: alma.s@peimedia.com
For speaking opportunities, please contact:
Alma Subasic | Conference Producer | T: 646-356-4521 | E: alma.s@peimedia.com
Jennifer Duggins
Assistant Director, Co-Head Private Funds Unit, U.S. Securities and Exchange Commission
Steven Trigili
Chief Compliance Officer, AMLCO of Garden State Securities, Inc. and Garden State Investment Advisory Services, LLC
2020 Advisory Board Coming Soon
For speaking opportunities, please contact:
Alma Subasic | Conference Producer | T: 646-356-4521 | E: alma.s@peimedia.com
VENUE
Crowne Plaza Times Square
1605 Broadway (at W. 49th Street)
New York, NY 10019
Hotel Phone: (212) 977-4000
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We’ve reserved a limited number of rooms at The Crowne Plaza Times Square for a special discounted rate of $259.00 + tax (single/double per night). Click Here to make your reservation online. Cut-off Date: Thursday, October 15, 2020.
If you would like to call the hotel to secure your reservation, please call: (212) 977-4000 and reference: RCW Conference to ensure you receive your special $259.00 room rate.
Only reservations made by Thursday, October 15, 2020 or prior to the sell-out of the room block can be confirmed at the group rate.
The Crowne Plaza - Times Square
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Satisfy your annual CLE/CPE requirements at
RCW: The Full 360° Compliance View Conference!
We are a national CLE/CPE provider. Check back with us to see how many CLE/CPE credits will be offered at this year’s RCW Conference. A focused approach to continuing education is vital to your firm in a year marked by an abundance of new SEC initiatives.
PEI Media Group, the parent company of RCW: The Full 360° Compliance Watch Conference, which is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry for CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, website: www.nasba.org. If you have any questions regarding CLE/CPE credits, please do not hesitate to contact our Conference Manager, Jennifer Yelverton at 646-356-4504 or jennifer.y@peimedia.com
Partners & Solutions Providers
Become a partner of RCW: The Full 360° Compliance View and meet compliance professionals hungry for your solutions!
For more information on exhibiting or sponsorship possibilities, please contact:
Jimmy Kurtovic, Business Development Manager
(646) 795-3273
jimmy.k@peimedia.com
Showcase Your Company
RCW: The Full 360° Compliance View Conference offers attendees who come to learn and talk to exhibitors about what you can do for them. You will find yourself surrounded by the top advisory industry compliance and IT professionals hungry for your solutions.
Our attendees come to learn and talk to exhibitors about what you can do for them. You will find yourself surrounded by the top advisory industry compliance professionals hungry for your solutions.
Host Publication:
Current & Past Sponsors Include:
SPONSOR BENEFITS:
Brand Exposure. Thought Leadership. Networking. Lead Generation.
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RCW: The Full 360° Compliance View Team
SPEAKING OPPORTUNITIES
Alma Subasic | Conference Producer | T: 646-356-4521 | E: alma.s@peimedia.com
SPONSOR & EXHIBIT OPPORTUNITIES
Jimmy Kurtovic | Business Development Manager | T: 646-795-3273 | E: jimmy.k@peimedia.com
MEDIA PARTNERSHIPS, PRESS & GENERAL MARKETING OPPORTUNITIES
Pooja Kaul | Associate Conference Marketing Manager | T: 646-356-4526 | E: pooja.k@peimedia.com
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