ComplyConnect Agenda

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Nov. 7, 2022

Pre-conference

 Afternoon
12:00 p.m. - 12:30 p.m.
Pre-conference workshop I: open registration
12:30 p.m. - 2:30 p.m.
Pre-conference workshop I: Women in compliance roundtable: identifying and improving crucial skill sets
2:30 p.m. - 3:00 p.m.
Pre-conference workshop II: open registration
3:00 p.m. - 5:00 p.m.
Pre-conference workshop II: mastering the fundamentals: a practical introduction for those new to investment adviser compliance
5:00 p.m. - 7:00 p.m.
Main conference registration open
5:00 p.m. - 7:00 p.m.
Welcome reception

Nov. 8, 2022

Day 1

 Morning
7:00 a.m. - 8:30 a.m.
Breakfast
7:00 a.m. - 5:30 p.m.
Registration open
7:00 a.m. - 5:00 p.m.
Exhibit area open
8:30 a.m. - 8:45 a.m.
Welcome remarks / conference kick-off
8:45 a.m. - 10:00 a.m.
Keynote address - Admiral McRaven
10:00 a.m. - 10:15 a.m.
Networking break
10:15 a.m. - 11:30 a.m.
General session: What's happening in DC?
11:30 a.m. - 1:00 p.m.
Lunch / meet the exhibitors
 Afternoon
Breakout 101
1:00 p.m. - 2:30 p.m.
Living with the new IA marketing rule - large IA firms & BD/DR firms
Breakout 102
1:00 p.m. - 2:30 p.m.
Living with the new IA marketing rule - small IA firms (includes solicitations)
Breakout 103
1:00 p.m. - 2:30 p.m.
Living with the new IA marketing rule - private funds
Breakout 104
1:00 p.m. - 2:30 p.m.
Roundtable topical discussions (IA/BD) (All levels)
2:30 p.m. - 2:45 p.m.
Networking break
Breakout 201
2:45 p.m. - 4:00 p.m.
SEC proposed rule: cybersecurity
Breakout 202
2:45 p.m. - 4:00 p.m.
Documenting 401(k) and IRA rollovers and more: requirements and status of DOL PTE 2020-2
Breakout 203
2:45 p.m. - 4:00 p.m.
TBA
Breakout 204
2:45 p.m. - 4:00 p.m.
Roundtable topical dicussions (including learning about the IACCP® program)
4:00 p.m. - 4:15 p.m.
Meet the exhibitors / networking break
Breakout 301
4:15 p.m. - 5:15 p.m.
SEC proposed rule for ESG
Breakout 302
4:15 p.m. - 5:15 p.m.
SEC proposed rule for private funds
Breakout 303
4:15 p.m. - 5:15 p.m.
Cryptocurrency
Breakout 304
4:15 p.m. - 5:15 p.m.
TBA
5:30 p.m. - 7:00 p.m.
Reception / meet the exhibitors

Nov. 9, 2022

Day 2

 Morning
7:00 a.m. - 8:30 a.m.
Breakfast - general attendance
7:00 a.m. - 8:30 a.m.
NRS IACCP® designee breakfast
7:00 a.m. - 5:30 a.m.
Registration open
7:00 a.m. - 5:00 p.m.
Exhibit area open
8:30 a.m. - 8:45 a.m.
Opening remarks / exhibitor updates
8:45 a.m. - 9:30 a.m.
Keynote address - Richard Best
9:30 a.m. - 10:30 a.m.
Perspectives from the regulators (SEC, FINRA and NASAA)
10:30 a.m. - 10:45 a.m.
Networking break
Breakout 401
10:45 a.m. - 12:00 p.m.
Recent trends in enforcement proceedings - IA
Breakout 402
10:45 a.m. - 12:00 p.m.
Recent trends in enforcement proceedings - BD
Breakout 403
10:45 a.m. - 12:00 p.m.
TBA
 Afternoon
12:00 p.m. - 1:00 p.m.
Lunch
Breakout 501
1:00 p.m. - 3:00 p.m.
Professional ethics (in-person/webinar)
Breakout 502
1:00 p.m. - 2:00 p.m.
AML and BD responsibilities beyond the 34 act
Breakout 503
2:00 p.m. - 3:00 p.m.
Developing procedures for suspected financial abuse and client illness
3:00 p.m. - 3:15 p.m.
Meet the exhibitors / networking break
Breakout 601
3:15 p.m. - 4:30 p.m.
Regulatory examinations - large IA firms
Breakout 602
3:15 p.m. - 4:30 p.m.
Regulatory examinations - BD/dual registrants
Breakout 603
3:15 p.m. - 4:30 p.m.
Regulatory examinations - Small IA firms
Breakout 604
3:15 p.m. - 4:30 p.m.
Regulatory examinations - private funds
5:00 p.m. - 7:00 p.m.
Inagural ComplyConnect awards reception

Nov. 10, 2022

Day 3

 Morning
7:00 a.m. - 8:15 a.m.
Breakfast
7:00 a.m. - 2:00 p.m.
Registration open
7:00 a.m. - 11:30 a.m.
Exhibit area open
8:15 a.m. - 8:25 a.m.
Opening remarks/game winners announced
8:25 a.m. - 8:45 a.m.
Lessons from 35 years in compliance
8:45 a.m. - 10:00 a.m.
General session: How do I know I have done enough?
10:00 a.m. - 10:15 a.m.
Meet the exhibitors / networking break
Breakout 701
10:15 a.m. - 11:15 a.m.
The SEC's proposed cybersecurity rule: considerations in vendor management.
Breakout 702
10:15 a.m. - 11:15 a.m.
Understanding custody: fundamentals and beyond
Breakout 703
10:15 a.m. - 11:15 a.m.
Reg best interest - lessons learned since 2020
11:15 a.m. - 11:30 a.m.
Meet the exhibitors / networking break
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 p.m. - 1:30 p.m.
Drafting disclosures and marketing materials: shifting standards and new challenges
1:30 p.m. - 2:00 p.m.
Conference wrap-up/boxed lunch
Nov. 7, 2022

Coming Soon.

Nov. 7, 2022

Coming Soon.