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Pre Conference Workshop I
1:00 - 4:00 pm
“Unique Assets” Updated 6/19/2006
Pre Conference Workshop II
1:00 - 4:00 pm
“Automation
of Audit and Compliance
Tools”
Welcoming Remarks
8:00 - 8:15 am
Keynote Address
8:15 - 9:30 am“The Increasing Role of Risk Management”
General Sessions
9:45
–11:00 am
“Searching
the Clues for IT Risks” Added 6/10/2006
11:00 am - 12:30 pm
Luncheon
12:30
–2:00 pm
2:00 –3:00 pm
“SEC Exam Preparation for Investment Advisors”
3:15 –4:15 pm
4:30 -5:30 pm2:00 –3:00 pm
“Gramm-Leach-Bliley Update” Added 6/19/2006
3:15 –4:15 pm
4:30 -5:30 pm2:00 –3:00 pm
“Identifying the Risks in Compensation and Incentive Plans”
3:15 –4:15 pm
“Merger and Acquisition Due Diligence”
4:30 -5:30 pmFIRMA’s Welcome Reception
7:00 –9:45 pm
General Sessions
8:00 -9:00 am
“Ethics in the Financial Services Industry”9:30 - 10:45 am
“20 Years of Compliance – Now Is Still Then - Only More So”
11:00am - 12:15 pm
“At
the
Crossroads – Privacy and Information Security”
Concurrent Sessions - “Track I - Fiduciary”
8:00 -9:15 am
9:30 -10:45 am
Concurrent Sessions - “Track II – Investments”
8:00 -9:15 am
9:30 -10:45 am
“Trends in Fee Disclosure”Concurrent Sessions - “Track III – Core Competencies”
8:00
-9:15am
“Reg.
9: How Much Do You Think You Know?”
9:30 -10:45 am
“Personal Trust Administration”Concurrent Sessions - “Track IV – Regulatory”
8:00 -9:15 am
“Regulator Open Session - SEC”
9:30 -10:45 am
“Regulator Open Session - OCC”FIRMA Annual Membership Meeting
11:00 am
-12:00 noon
Luncheon Speaker
12:00 noon - 1:15 pm
"SAS 70" Added 6/10/2006
Concurrent Sessions - “Track I - Fiduciary”
1:15 -2:30 pm
2:45 - 4:00 pm
4:15 - 5:30 pm
“Fiduciary Roundtable - Small Bank”
Concurrent Sessions - “Track II – Investments”1:15
-2:30 pm
2:45 - 4:00 pm
4:15 - 5:30 pm
“Fiduciary
Roundtable - Large Bank”
1:15 - 2:30 pm
“Personal Trust Operations: Do You Know What Your Competitors Are Doing?”
2:45 - 4:00 pm
“How to Audit Sales Practices”
4:15 - 5:30 pm
“Personal Trust Administration”
Concurrent Sessions - “Track IV – Regulatory”1:15 - 2:30 pm
“Regulator Open Session - OTS”
2:45 - 4:00 pm
“Regulator Open Session - FED”
4:15 - 5:30 pm
“Regulatory Roundtable”General Sessions
8:00 – 9:00 am
“The Role of FinCen in Combatting White Collar Crimes and Terrorist Financial Activity”
9:15 – 10:45 am
“BSA / AML” Added 6/10/2006
11:00 am - 12:15 pm
“The Nature and Psychology of Fraud”
Conference Adjourns
12:15 pm
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