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Welcoming Remarks
8:00 - 8:15 am
Opening Address
8:15 - 915 am"Where Do We Go from Here: Risk Management after the Financial Meltdown”
General Sessions
9:30
–10:30 am
“Vendor
Risk”
10:45 - 11:45 am
“Valuation Strategies for Complex and Uncertain Times”
Luncheon Speaker
11:45 am - 1:15 pm
“Audit and Compliance Coordination”
General Sessions
1:15 – 2:45 pm
“Conflicts
of Interest Red Flags”
3:00 – 4:45 pm
“Auditing Brokerage and Investment Activities”
3:00 – 4:45 pm
“Account Pre-Acceptance – Asset Analysis”
Concurrent Town
Hall
Sessions - "Town Hall III"
3:00
– 4:45 pm
“Control Self-Assessment Process”
Concurrent Town
Hall
Sessions - "Town Hall IV"
FIRMA’s
Welcome Reception
6:00 –8:00 pm
Keynote Session
8:00 -9:45 am
“Banking Regulator Panel”11:45 - 12:45 am
Concurrent
Sessions -
“Track I - Risk Issues”
8:00 -9:00 am
“Critical ERISA Issues”9:15 -10:15 am
10:30 -11:30 am
Concurrent
Sessions -
“Track II – Operations Hot Topics”
8:00 -9:00 am
“Internal Control Reports: Facts, Myths, and Best Practices”9:15 -10:15 am
10:30 -11:30 am
"Sub-Custodian
Risk”
Concurrent
Sessions -
“Track III – Asset Management”
8:00 -9:00 am
“Third Party Money Manager Due Diligence”9:15 -10:15 am
“Hedge Funds: The Tension Between Managing Risk and Risk Management”
10:30 -11:30 am
"Hedge
Funds
–
Globalization
and
its Consequences”
Concurrent
Sessions -
“Track IV – Regulatory”
8:00 -9:00 am
“Securities Regulator Open Session – SEC and FINRA”9:15 -10:15 am
“Securities
Regulator
Open Session – SEC and FINRA” (Repeat Session)
10:30 -11:30 am
"Regulator
Open
Session – Department of Labor”
General Session
11:45 am - 1:15 pm
“FIRMA Annual Membership Meeting”Concurrent Sessions – "Track I – ERISA"
1:15 - 2:15 pm“Burned Once ... Using KRIs to Avoid Litigation and Vice Versa”
2:30 - 3:30 pm
“Reviewing Marketing Materials”3:45 - 4:45 pm
“Fiduciary Roundtable – Small Bank”Concurrent Sessions – "Track II – Broker / Dealer Investment Advisor"
1:15 - 2:15 pm“Sub-Custodian Risk” (Repeat Session)
2:30 - 3:30 pm
“Class Actions and SEC Settlements”3:45 - 4:45 pm
“Fiduciary Roundtable – Large Bank”Concurrent Sessions – "Track III – Hot Topics"
1:15 - 2:15 pm“Supervision of Registered Representatives in a Bank Broker Dealer”
2:30 - 3:30 pm
“Dual Hatting”3:45 - 4:45 pm
“Investment Advisor Roundtable”Concurrent Sessions – "Track IV – Regulatory"
1:15 - 2:15 pm“Regulator Open Session – Department of Labor” (Repeat Session)
2:30 - 3:30 pm
“Regulator Open Session - FinCEN”3:45 - 4:45 pm
“Regulatory Roundtable”Keynote Session
8:00 – 9:00 am
“Investment
Fraud – Ponzi Rides Again”
General Sessions
9:15 – 10:30 am
“Operations
Risk
Management Panel”
10:45 - 11:45 am
“Business Resumption or Business as Usual – They are Closer Than You Think”
12:00 - 1:00 pm
“Sharing Information with Affiliates and Third Parties”
Conference Adjourns
1:00 pm
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