“Investment Management in the Current Environment: What You Need to Know”
Webinar

Presenters:
Bill Norris
Managing Director, Regional Head Central Region
CIBC Private Wealth Management
Chicago, IL

Mick Comiskey
Senior Investment Analyst
CIBC Private Wealth Group, LLC
Boston, MA

Nanna Goodfellow
Retired-National Bank Examiner (OCC)
New York, NY

Our three one-hour Investment Tracks will capture investment management guidance within the current and challenging marketplace.

Prudent Investor Rule: To Follow or Not to Follow (Bill Norris) - This session will explore the evolution of the Prudent Investor rule from the 1800’s to current day.  As our industry continues to evolve, the session will focus on the core tenants of the rule and discuss a how trustee’s and investment advisors should operate within the rules.  It will also discuss important aspects to consider if a trustee or investment advisor, chooses to alter their approach.  Participants will be able to gain a better understanding of their responsibilities and learn why focusing on the Prudent Investor Rule in today’s complex environment is critical.

Complex Platform Oversight: Due Diligence, Onboarding, Monitoring, and Offboarding (Mick Comiskey) - In this session, attendees will learn how to:

• Outline a manager research due diligence framework
• Review on-boarding procedures and best practices for bringing new strategies on to a platform
• Highlight approaches for on-going monitoring of investment strategies
• Illustrate different paths to offboarding strategies
• Connect all steps in the process as a continuous cycle

Reg 9 Reviews: Investment Oversight and Governance (Nanna Goodfellow) - Properly executed Reg 9 reviews are critical controls to ensure client portfolios are managed in accordance with account investment objectives and sound fiduciary principles.  This session will discuss the requirements of 12 CFR 9.6, common investment review issues, and mechanisms to ensure exceptions are resolved in a timely manner.  This will include internal controls, oversight, and reporting.  Participants will gain a deeper understanding of the importance of Reg 9 investment review processes from avoidance of issues to resolution of identified exceptions in a prudent fashion.  

We hope that you will take advantage of this cost-benefit opportunity to participate in our valuable non-travel education programs. FIRMA members enjoy discounted registration pricing for each of our webinars in 2026.

DELIVERY METHOD: Group-Internet Based Training, including interactive Q&A. Presented through the Zoom virtual platform.This session will be recorded for playback for registered attendees.
NASBA Field of Study: Regulatory Ethics
PROGRAM KNOWLEDGE LEVEL: Intermediate
PREREQUISITES and ADVANCED PREPARATION:  None

CONTINUING EDUCATION CREDITS (CEs):
Certified FIRMA Members and Cannon CFIRS®, CCTP™, CRPP™, AFIM®, CTOP®, CTA, and CTCP Professionals are pre-approved for 3.0 CEs for this Virtual Seminar. The ABA has pre-approved the following CEs: CTFA, CERP, CRCM and CSOP 4.25. NASBA has approved 3.6 Group Internet Based credits. Check with your credentials provider for specific applicability. 

The Fiduciary and Investment Risk Management Association, Inc.™ (FIRMA) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:www.NASBAregistry.org.

REGISTRATION FEES

Individual Registrations
FIRMA Member Price: $350.00
Non-Member Price: $550.00

Group Registrations (minimum of 3 attendees from the same organization) **
FIRMA Member: $250.00 per person
Non-Member: $450.00 per person
**Before registering as a Group attendee, please verify with your company that at least 3 employees from your organization will be attending. We can no longer provide a single invoice for Group registrations. Each attendee must pay online individually for their registration, or submit their invoice to their organization if paying with one check or credit card. 

REGISTER NOW

CANCELLATION/REFUND and COMPLAINT RESOLUTION POLICY
Cancellations received through July 8, 2026 will be refunded less a $100 service charge. Cancellations made after July 8th are non-refundable. Written notification is required to process any cancellation or refund. 
FIRMA reserves the right to change speakers or reschedule or cancel sessions when necessary.  For more information regarding seminar administrative policies such as complaint or refund, please contact our offices at 770-790-8355.

REGISTRATION DEADLINE IS JULY 8TH