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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:
Women in Compliance 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
Speakers:
Tom Coonan, Consultant,COMPLY
David Lui, Co Editior,Modern Compliance Vol. 1 & 2Speakers:
Marilyn Miles, VP Consulting, COMPLY
Debbie Konieczny, Chief Compliance Officer, Capital Advisors
Karen Aavik, Head of Ethics, Privacy and Investments Compliance, Flagstar Bank -
12:30 p.m. - 2:30 p.m.
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Oct. 22
2024Day 1
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7:00 a.m. - 8:30 a.m.
Breakfast / Meet the Exhibitors
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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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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 - An Empowered CCO
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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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11:00 a.m. - 11:10 a.m.
Room Change Break
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11:10 a.m. - 11:40 a.m.
Sponsor Presentation / Meet the Exhibitors
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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.
BREAKOUT SESSION
Investment Adviser Marketing Rule - Best Practices To Meet SEC Expectations -
1:00 p.m. - 2:30 p.m.
BREAKOUT SESSION
Generative AI: Embracing Innovation While Mitigating Risk -
2:30 p.m. - 2:45 p.m.
Meet the Exhibitors / Networking Break
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2:45 p.m. - 3:45 p.m.
BREAKOUT SESSION
Recent Trends in Enforcement Proceedings - Investment Advisers -
2:45 p.m. - 3:45 p.m.
BREAKOUT SESSION
Recent Trends in Enforcement Proceedings - Broker Dealers -
2:45 p.m. - 3:45 p.m.
BREAKOUT SESSION
Recent Trends in Enforcement Proceedings - Private Funds -
3:45 p.m. - 4:00 p.m.
Room Change Break
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4:00 p.m. - 5:00 p.m.
BREAKOUT SESSION
Interpreting Potential Future Directions of Private Fund Compliance -
4:00 p.m. - 5:00 p.m.
BREAKOUT SESSION
Understanding Custody in the Current Landscape and Beyond -
4:00 p.m. - 5:00 p.m.
BREAKOUT SESSION
Cryptocurrency and Other Digital Asset Compliance Considerations for Investment Advisers and Private Funds -
5:00 p.m. - 5:30 p.m.
Meet the Exhibitors
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5:30 p.m. - 7:00 p.m.
Reception / Meet the Exhibitors
Speakers:
Marshall Gandy, Investment Adviser/Investment Company Program Director, SEC
Speakers:
Karen Barr, President and Chief Executive Officer, Investment Adviser Association
John Walsh, Partner, Eversheds Sutherland (US) LLP
Speakers:
Mario Chilin, CCO, EP Wealth Advisors
Kelly Igoe, Consultant, COMPLY
Speakers:
Helen Johnson, Chief Technology Officer, COMPLY
Karen DeFreitas, Compliance Associate, Moelis & Company LLC
Ben Schreiner, Head of AI and Modern Data Strategy Business Development, Amazon
Speakers:
John Walsh, Partner, Eversheds Sutherland (US) LLP
Elizabeth Knobloch, Managing Member, Elizabeth M. Knoblock, PLLC
Speakers:
Tom Coonnan, Senior Consultant, COMPLY
Ronak Patel, Principal, Bressler Amery & Ross
Speakers:
Craig Watanabe, Director of IA Compliance, Diversify Advisory Services
John Van Der Wal, Senior Director, Compliance Advisory, COMPLY
Speakers:
Lance Dial, Partner, K&L Gates LLY
Med Daigneault, VP, Private Fund Advisory Consulting, COMPLY
Speakers:
David Solander, Partner, DLA Piper
Amber Tatman, Senior Director, Compliance Advisory, COMPLY
Speakers:
Jonté Harrell, CFO & CRO, ZenLedger
David Bliss, Chief Product Officer, Compliance Advisory, COMPLY
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7:00 a.m. - 8:30 a.m.
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Oct. 23
2024Day 2
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7:00 a.m. - 8:30 a.m.
Breakfast - General Attendance / Meet the Exhibitors -
7:00 a.m. - 8:15 a.m.
IACCP Designee 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.
Opening Remarks/Exhibitor Updates -
8:45 a.m. - 9:35 a.m.
General Session: Keynote -
9:45 a.m. - 10:45 a.m.
BREAKOUT SESSION
Expanding Your Business into the UK - Compliance Considerations -
9:45 a.m. - 10:45 a.m.
BREAKOUT SESSION
Best Practices for Conducting and Documenting Your Annual Review -
9:45 a.m. - 10:45 a.m.
BREAKOUT SESSION
Regulation S-P and Information Security Update: Evolving Regulatory Framework, Industry Expectations and Accompanying Challenges (CDS) -
10:45 a.m. - 11:00 a.m.
Networking Break / Meet the Exhibitors -
11:00 a.m. - 12:00 p.m.
BREAKOUT SESSION
Vendor Due Diligence With or Without the Outsourcing Rule
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11:00 a.m. - 12:00 p.m.
BREAKOUT SESSION
Cybersecurity: Implementing Technology to Address Regulatory Concerns -
11:00 a.m. - 12:00 p.m.
BREAKOUT SESSION
Preparing RIA's, Private Funds, and ERA's for the new AML/CFT ( and possibly CIP) -
12:00 p.m. - 1:00 p.m.
Lunch -
1:00 p.m. - 3:00 p.m.
BREAKOUT SESSION
Professional Ethics: Ethical Decision-Making for Compliance Professionals (Live/Webinar) -
1:00 p.m. - 2:00 p.m.
BREAKOUT SESSION
The Regulators’ Perspective: How Texas’s Agenda Impacts SEC And State Investment Advisers -
2:00 p.m. - 3:00 p.m.
BREAKOUT SESSION
Innovate Like AWS: Unleashing Creativity Through Mechanism and Culture -
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.
BREAKOUT SESSION
Regulatory Examinations - Investment Advisers -
3:15 p.m. - 4:30 p.m.
BREAKOUT SESSION
Regulatory Examinations - Private Funds -
3:15 p.m. - 4:30 p.m.
BREAKOUT SESSION
Regulatory Concerns for Traditional and Off-Channel Employee Communication -
4:30 p.m. - 5:00 p.m.
Sponsor Presentation(s) -
5:00 p.m. - 7:00 p.m.
COMPLYConnect 2024 Awards Reception
Speakers:
Owen Donley , Chief Counsel, Office of Investor Education and Advocacy, SEC
Speakers:
Lance Dial, Partner, K&L Gates LLY
Jessica Freckleton, UK Director, Compliance Advisory, COMPLY
Speakers:
Jodie Crotteau, Deputy CCO and Head of Investment Compliance & Cod, Harris Associates
Marilyn Miles, VP Consulting and EDU, COMPLY
Speakers:
Michael Yaeger, Shareholder, Carlton Fields
Max Mejiborsky, Senior Director, Compliance Advisory, COMPLY
Speakers:
Karen Aavik, Head of Ethics, Privacy and Investments Compliance, Flagstar Bank
Corrie Scoby, Consultant, COMPLY
Speakers:
Michael Cocanower, CEO, Adviser Cyber
Jonathan Evans, Lead of Cyber Compliance, Smarsh
Speakers:
Richard Kerr, Partner, K&L Gates
Ish Manzanares, Vice President, Consulting Services, COMPLY
Speakers:
Rob Stirling, Compliance Consultant
Matthew Fitzgerald, Chief Compliance Officer PGIM Fixed Income
Tom Coonan, Consultant, COMPLY
Moderator:
Ann Hauerland, Head of Registration and Regulatory Affairs, COMPLY
Speakers:
Cristi Ochoa
Travis J. Iles
Speakers:
Helen Johnson, Chief Technology Officer, COMPLY
Franck Noel, Head of Solutions Architects AWS SMB East
Speakers:
Ish Manzanares, Vice President, Advisory Consulting Services, COMPLY
Stuart Evans, Chief Compliance Officer, The Mather Group
Speakers:
Jeff Blumberg, Partner, Faegre Drinker Biddle & Reath LLP
Max Mejiborsky, VP Compliance Services, Executive Consultant, COMPLYSpeakers:
John Van Der Wal, Senior Director, Compliance Advisory, COMPLY
Karen DeFreitas, Compliance Associate, Moelis & Company LLC
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7:00 a.m. - 8:30 a.m.
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Oct. 24
2024Day 3
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7:00 a.m. - 8:15 a.m.
Breakfast / Meet the Exhibitors -
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. - 8:30 a.m.
Opening Remarks / Game Winners Announced -
8:30 a.m. - 9:45 a.m.
BREAKOUT SESSION
CCO Liability: How Do I Know I Have Done Enough? -
8:30 a.m. - 9:45 a.m.
BREAKOUT SESSION
Branch Office and Remote Location Supervision for Investment Advisers and Broker Dealers -
9:45 a.m. - 10:00 a.m.
Networking Break / Meet the Exhibitors -
10:00 a.m. - 11:00 a.m.
BREAKOUT SESSION
Reg Best Interest, DOL Fiduciary Rule, and the Impact of the SEC Risk Alert -
10:00 a.m. - 11:00 a.m.
BREAKOUT SESSION
Performance Advertising: Hypothetical Performance and GIPS -
11:00 a.m. - 11:15 p.m.
Meet the Exhibitors / Networking Break
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11:15 a.m. - 1:30 p.m.
Critical Skills for High-Performance Compliance Professionals (Live/Webinar) [with a 15 minute break to get box lunches]
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1:30 p.m. - 2:00 p.m.
Conference Wrap-Up - Hearing from the Attendees:
Practical Applications from COMPLYConnect 2024
Speakers:
James Warren, Managing Director, Travelers
Amber Tatman, Senior Director, Compliance Advisory, COMPLY
Speakers:
Nicole Del Rosario, Senior Consultant, COMPLY
Jerry Danielson, Asst. Vice President – Field Assurance, Osaic
Speakers:
Parham Nasseri, VP, Product & Regulatory Strategy, InvestorCOM
Nicole Del Rosario, Senior Consultant, COMPLY
Speakers:
Matt Deatherage, Partner, Longs Peak Advisory Services LLC
Kelly Igoe, Consultant, COMPLY
Speakers:
David Lui, Co Editior, Modern Compliance Vol. 1 & 2
Karen Quill, Consultant, COMPLY
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7:00 a.m. - 8:15 a.m.