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Welcoming Remarks
8:00 - 8:15 am
Opening Keynote Remarks
8:15 - 9:15 am"Ethical Behavior in the Financial Services Industry – Why Dodd-Frank Will Not Work”
General Sessions
9:30 –10:30 am
“Economic
Update”
10:45 am - 11:45 pm
Hosted Luncheon
11:45 – 1:15 pm
General Session1:15 - 2:15 pm
Concurrent Sessions
2:30 - 3:30 pm
“IRS Driven Regulations – Cost
Basis, FATCA, etc.”
2:30 - 3:30 pm
“ERISA / DOL Update”2:30 - 3:30 pm
“Reg R – What Now?”
2:30 - 3:30 pm
“FCPA and UK Bribery Act”Roundtable Sessions
3:45 - 5:15 pm
“Auditing”3:45 - 5:15 pm
“Regulators”
6:00 –8:00 pm
Keynote Session
8:00 -9:00 am
“A Vision of the Future”“Country/Domestic Risk Exposure”
11:00 - Noon
12:15 - 1:15 pm
“DFA – The Whistleblower Provisions”Vendor Showcase
1:30 - 2:30 pmKeynote Session
8:00 – 9:00 am
“Senior Executive Panel – Vision and Direction of Wealth Risk Management”Concurrent Sessions
9:15 -10:15 am
“Managing
Specialty Assets in a Challenging Environment”
9:15 -10:15 am
“Micro-Cap
Securities Investigations”
Concurrent Sessions
“The Chinese Wall –
Today’s View”
10:30 -11:30 am
“Transitioning
from SAS 70 to SSAE 16”
10:30 -11:30 am
Hosted Luncheon
11:45 am - 1:15 pm
“FIRMA Annual Membership Meeting”Concurrent Sessions
1:15 -2:15 pm
“Conflicts
of Interest Monitoring”
1:15 -2:15 pm
“Compliance Risk Assessments – Trends and Components”
Concurrent Sessions
“Investment
Products – Mutual Funds Due Diligence”
2:30 - 3:30 pm
“Stress
Testing / Capital Adequacy Assessment”
2:30 - 3:30 pm
“Vendor Risk Management – 3rd Party”
Concurrent Sessions
“Defensible Records Retention and Preservation”
3:45 - 4:45 pm“Practical
Model Risk Management”
3:45 - 4:45 pm
“Vendor
Risk Management – 3rd Party”
3:45 - 4:45 pm
“Letters and Titles and Tags, OH MY!”
Keynote Session
8:00 – 9:00 am
“Risk
Assessments/Risk Appetite”
General Sessions
9:15 – 10:15 am
“DFA
– The Volcker Rule and Corporate Living Wills”
10:30 - 11:30 am
“Reputation
Risk – How to React and Survive a Crisis”
11:45 am - 12:45 pm
“Business Continuity Planning”
Conference Adjourns
12:45 pm
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