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Oct. 21
2024Pre-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
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12:30 p.m. - 2:30 p.m.
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Oct. 22
2024Day 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. - 9:45 a.m.
Keynote Address
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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.
General Session - What's Happening in DC Now?
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11:10 a.m. - 11:40 a.m.
Networking Break / Meet the Exhibitors
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11:10 a.m. - 11:40 a.m.
Sponsor Presentation
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11:45 a.m. - 1:00 p.m.
Lunch
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1:00 p.m. - 2:30 p.m.
Investment Adviser Marketing Rule - Best Practices To Meet SEC Expectations
BREAKOUT SESSION -
1:00 p.m. - 2:30 p.m.
Implementing Changes To Meet Private Funds Reforms
BREAKOUT SESSION -
2:45 p.m. - 3:45 p.m.
Recent Trends in Enforcement Proceedings - Investment Advisers
BREAKOUT SESSION -
2:45 p.m. - 3:45 p.m.
Recent Trends in Enforcement Proceedings - Broker Dealers
BREAKOUT SESSION -
2:45 p.m. - 3:45 p.m.
Recent Trends in Enforcement Proceedings - Private Funds
BREAKOUT SESSION -
3:45 p.m. - 4:00 p.m.
Room Change Break
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4:00 p.m. - 5:00 p.m.
Community Driven Session
BREAKOUT SESSION Submit Community Session -
4:00 p.m. - 5:00 p.m.
Understanding the SEC's Proposed Custody Rule
BREAKOUT SESSION -
4:00 p.m. - 5:00 p.m.
Cryptocurrency and Other Digital Asset Compliance Considerations for Investment Advisers and Private Funds
BREAKOUT SESSION -
5:00 p.m. - 5:30 p.m.
Meet the Exhibitors
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5:30 p.m. - 7:00 p.m.
Reception
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7:00 a.m. - 5:30 p.m.
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Oct. 23
2024Day 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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7:00 a.m. - 8:30 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.
Keynote Address
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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.
Best Practices for Conducting and Documenting Your Annual Review
BREAKOUT SESSION -
10:45 a.m. - 11:00 a.m.
Networking Break / Meet the Exhibitors -
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.
Understanding the SEC's Proposed Cybersecurity Rule
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.
Community Driven Session
BREAKOUT SESSION Submit Community Session -
2:00 p.m. - 3:00 p.m.
Community Driven Session
BREAKOUT SESSION Submit Community 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 - Investment Advisers
BREAKOUT SESSION -
3:15 p.m. - 4:30 p.m.
Regulatory Examinations - Private Funds
BREAKOUT SESSION -
3:15 p.m. - 4:30 p.m.
Managing Technology for Traditional and Off-Channel Employee Communication
BREAKOUT SESSION -
4:30 p.m. - 5:00 p.m.
Meet the Exhibitors
BREAKOUT SESSION -
4:30 p.m. - 5:00 p.m.
Sponsor Presentation
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5:00 p.m. - 7:00 p.m.
COMPLYConnect 2024 Awards Reception
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7:00 a.m. - 5:30 p.m.
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Oct. 24
2024Day 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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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.
CCO Liability: How Do I Know I Have Done Enough?
BREAKOUT SESSION -
8:30 a.m. - 9:45 a.m.
Branch Office and Remote Location Supervision for Investment Advisers and Broker Dealers
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.
Reg Best Interest, DOL Fiduciary Rule, and the Impact of the SEC Risk Alert
BREAKOUT SESSION -
10:00 a.m. - 11:00 a.m.
Performance Advertising: Hypothetical Performance and GIPS
BREAKOUT SESSION -
11:00 a.m. - 11:15 p.m.
Meet the Exhibitors
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11:15 a.m. - 12:15 p.m.
Part I - Critical Skills for High-Performance Compliance Professionals (Live/Webinar)
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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 (Live/Webinar)
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1:30 p.m. - 2:00 p.m.
Conference Wrap-Up - Hearing from the Attendees:
Practical Applications from COMPLYConnect 2024
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7:00 a.m. - 2:00 p.m.