2027 FIRMA Conference Agenda
(Sessions & Speakers are subject to change)
Monday Tuesday Wednesday Thursday
Monday, March 22, 2027
Welcoming Remarks
9:15 – 9:30 am
Natalie McCabe, CFIRS, CPA, CAMS, CISA
FIRMA President
Opening Keynote Address
9:30 - 10:30 am
“The Future of the Fiduciary Industry: Forces Reshaping Trust and Wealth Management”
(NASBA Field of Study – Specialized Knowledge)
Phil Buchanan
CANNON FINANCIAL INSTITUTE
General Session
10:45 –11:45 am
“Regulatory Panel: Regulatory Priorities and Supervisory Expectations: A Fiduciary Industry Perspective”
(NASBA Field of Study – Regulatory Ethics)
Moderator:
William T. Norris
CIBC PRIVATE WEALTH MANAGEMENT
Jamie Bazarow
FEDERAL RESERVE BANK OF ST. LOUIS
Tom Belcher
FDIC
Michael F. Rea
OFFICE OF THE COMPTROLLER OF THE CURRENCY
Lunch
11:45 am - 1:00 pm
Breakout Sessions
1:00 – 2:00pm
“Managing Conflicts of Interest”
(NASBA Field of Study – Regulatory Ethics)
Neil P. Archibald, JD
MEMBERS TRUST COMPANY, FSB
“AML and BSA Risk in Fiduciary Relationships: Beyond Traditional Customer Due Diligence”
(NASBA Field of Study – Specialized Knowledge)
Sarah Beth Felix, CAMS, M.F.S.
PALMERA CONSULTING, LLC / HYPER-S RESEARCH LLC
“Risk Culture, Conduct, and Accountability: The Expanding Role of Compliance and Internal Audit”
(NASBA Field of Study – Auditing)
TJ Haynes-Morgan
RAYMOND JAMES FINANCIAL, INC.
Breakout Sessions
2:30 – 3:30pm
“Operational Resilience: Managing Disruptions”
(NASBA Field of Study – Specialized Knowledge)
Ricoh Danielson
1ST RESPONDER LLC
“Advanced IRA Administration”
(NASBA Field of Study – Taxes)
Annie Messer, AIF, CPFA, NQPA, QKA, RCC
PENSION RESOURCE INSTITUTE
“ETFs, Exchange Funds, and Portfolio Strategy and Construction”
(NASBA Field of Study – Finance)
William T. Norris
CIBC PRIVATE WEALTH MANAGEMENT
Breakout Sessions
3:45 – 4:45pm
“Digital Assets and Tokenization: Governance and Fiduciary Risk in an Evolving Financial Ecosystem”
(NASBA Field of Study – Specialized Knowledge)
Mike Tropeano, CFA
FI-TEK
“Trust Termination: Avoiding Pitfalls, Preventing Claims, and Closing with Confidence”
(NASBA Field of Study – Regulatory Ethics)
Robin Maher
LEVENFELD PEARLSTEIN LLC
“The Second and Third Lines in 2030: Redefining Risk, Assurance, and Talent”
(NASBA Field of Study – Auditing)
Drew Wheat
PROTIVITI
FIRMA’s Welcome Reception
6:30 – 8:30 pm
Tuesday, March 23, 2027
General Session
8:00 – 9:00 am
“Evolving Expectations for Board and Committee Oversight”
(NASBA Field of Study – Business Management & Organization)
Patrick Alyward
TRUSTWORTHY CONSULTANTS
General Session
9:30 -10:45 am
“Fiduciary Executive Panel: Strengthening the Three Lines: Aligning Risk Ownership, Oversight, and Assurance”
(NASBA Field of Study –Regulatory Ethics)
Moderator:
Holly A. Bailey, JD
NORTHERN TRUST
Natalie McCabe, CFIRS, CPA, CAMS, CISA
MECHANICS BANK
Robert (Rob) McKeon
CIBC
Tammie Sandoval
General Session
11:00 am -12:00 pm
“Leading Through Transformation: Navigating a Changing Financial Services Landscape”
(NASBA Field of Study – Specialized Knowledge)
Marc Sabino
RSM
Lunch
12:00 pm - 1:15 pm
Extended Breakout Sessions
1:15 am -2:45 pm
“Building a High-Impact Risk and Control Matrix”
(NASBA Field of Study – Auditing)
Mark Gray
RAYMOND JAMES TRUST, N.A.
Denise Morrison
REGIONS BANK
“Advanced Trust Provisions and Fiduciary Risk Considerations”
(NASBA Field of Study – Regulatory Ethics)
Chris Hewitt, J.D.
TRUST COMPANY OF THE SOUTH
“Building Trust, Driving Improvement: How High-Performing Audit Functions Create Lasting Value”
(NASBA Field of Study – Auditing)
Bekgah Morehead, CPA, CFIRS
FIRST CITIZENS BANK
John Pearce, CPA, CFIRS
FIRST CITIZENS BANK
Extended Breakout Sessions
3:15 pm–4:45 pm
“Governance Beyond the Dashboard: What Fiduciary Committees Should Really Be Reviewing”
(NASBA Field of Study – Regulatory Ethics)
Rafael E. DeLeon
NCONTRACTS
Shannon Hull, CTFA, CAMS, and IACCP
NCONTRACTS
“Managing Priorities, Influence, and Leadership”
(NASBA Field of Study – Personal Development)
Angela Santone
REGIONS BANK
“From Prompting to Agentic AI: Practical Applications for Compliance and Internal Audit”
(NASBA Field of Study – Information Technology)
Gilbert Arocha, CFIRS, AAMS, MBA
FROST BANK
Marc Sabino
RSM
Wednesday, March 24, 2027
General Session
8:00 - 9:00 am
“Economic and Market Outlook”
(NASBA Field of Study – Economics)
Joshua Waynick
FIFTH THIRD BANK, NA
Breakout Sessions
9:15 -10:15 am
“Regulation 9 Reimagined: Modernizing Fiduciary Practices for an Evolving Regulatory Environment”
(NASBA Field of Study – Regulatory Ethics)
Elizabeth King
ALVAREZ & MARSAL PRIVATE WEALTH PARTNERS
“Advanced Fiduciary Duty: Applying Loyalty, Prudence, and Accountability in Complex Relationships”
(NASBA Field of Study – Regulatory Ethics)
Holly A. Bailey, JD
NORTHERN TRUST
Denise Morrison
REGIONS BANK
“Data Privacy and Fiduciary Information Risk”
(NASBA Field of Study – Information Technology)
Steven Wujek, CISSP, CISM, CCNP
TCDI, INC.
Breakout Sessions
10:30 -11:30 am
“Fiduciary Risk at the Intersection: Case Studies in Fraud, Exploitation, and Client Protection”
(NASBA Field of Study – Specialized Knowledge)
Harrison Lord
LORD & LINDLEY
“Control Designs That Work: Moving Beyond Policies and Procedures”
(NASBA Field of Study – Auditing)
Margie Christensen
F2 STRATEGY
“From Metrics to Meaning: Risk Reporting That Drives Board and Executive Action”
(NASBA Field of Study – Specialized Knowledge)
Lauren M. Poulsen, CRCM
REGIONS BANK
Lunch
11:30 am - 12:45 pm
Breakout Sessions
12:45 pm -1:45 pm
“Complaint Management as a Risk Intelligence Function”
(NASBA Field of Study – Specialized Knowledge)
Jeannie Woods, CTFA
RAYMOND JAMES TRUST, N.A.
“Prediction Markets: Fiduciary Risks and Considerations”
(NASBA Field of Study – Finance)
Alexander C. Kim
KATTEN MUCHIN ROSENMAN, LLP
“Building a Family Office Practice”
(NASBA Field of Study – Specialized Knowledge)
Christopher Quinn
CIBC
Breakout Sessions
2:15 - 3:15 pm
“Succession Planning for Family Businesses and Multigenerational Wealth”
(NASBA Field of Study – Specialized Knowledge)
Theresa Marx
CIBC
“Custody and Vault Controls in a Digital Age”
(NASBA Field of Study – Specialized Knowledge)
Louise Barrett
NORTHERN TRUST
Cathy Reynolds
NORTHERN TRUST
“Trust but Verify: Affiliate Risk Oversight”
(NASBA Field of Study – Regulatory Ethics)
Gregory J. Lyons
DEBEVOISE & PLIMPTON, LLC
Breakout Sessions
3:30 - 4:30 pm
“Fiduciary Litigation: Lessons in Risk”
(NASBA Field of Study – Specialized Knowledge)
Rebecca Wallenfelsz
CHAPMAN AND CUTLER
“ERISA Update: Navigating New Enforcement Horizons, Plan Designs, and Judicial Precedents”
(NASBA Field of Study – Regulatory Ethics)
Michael Del Conte
GROOM LAW GROUP, CHARTERED
“Investment Policy: Fiduciary Duty and Governance”
(NASBA Field of Study – Finance)
Rusty Vanneman, CFA, CMT
FNBO
Roundtable Sessions
4:45 pm - 5:45 pm
“Small and Regional Institutions: Audit”
(NASBA Field of Study – Auditing)
Leaders:
Natalie McCabe, CFIRS, CPA, CAMS, CISA
MECHANICS BANK
Rachel L. Saxon
HORIZON BANK
“Large Institutions: Audit”
(NASBA Field of Study – Auditing)
Leader:
Bruce K. Goldberg, CTA, CPA
Retired, DELOITTE & TOUCHE LLP
“Small and Regional Institutions: Risk / Compliance / First Line”
(NASBA Field of Study – Regulatory Ethics)
Leaders:
W. Michael Bridgeman, CFP, CFIRS
TRUST COMPANY OF THE SOUTH
Casey Tuxhorn, CFIRS
FNBO
“Large Institutions: Risk / Compliance / First Line”
(NASBA Field of Study – Regulatory Ethics)
Leaders:
Sacha W Waldeck, CTFA, CFIRS
RAYMOND JAMES TRUST, N.A.
Denise Morrison
REGIONS BANK
“Regulators” (This session is open only to Federal and State Regulators)
(NASBA Field of Study – Regulatory Ethics)
Leader:
Jamie A. Bazarow, CFE
FEDERAL RESERVE BANK OF ST. LOUIS
Thursday, March 25, 2027
General Session
8:00 – 9:00 am
“Effective Board Training: Meeting Regulatory Expectations and Building Better Fiduciary Governance”
(NASBA Field of Study – Communications & Marketing)
Duane Lee
CANNON FINANCIAL INSTITUTE
General Session
9:15 – 10:15 am
“Wealth Management Risk Trends: What Chief Risk Officers Are Watching”
(NASBA Field of Study – Specialized Knowledge)
Carol Severyn
FROST BANK
General Session
10:30 – 11:30 am
“Connected Risk: Economic, Technology, Regulatory, and Emerging Threats Reshaping Financial Services”
(NASBA Field of Study – Specialized Knowledge)
William Trout
DATOS INSIGHTS
Conference Adjourns
11:30am
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