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Welcoming Remarks
8:00 - 8:15 am
Opening Address
8:15 - 9:00 am"The U.S. Economic Outlook: What to Expect in Unexpected Times”
General Sessions
9:15
–10:30 am
“The
New Legislative Landscape and Beyond”
10:45 - 11:45 am
1:15 – 2:45 pm
“Fiduciary Litigation – The New Cases You Must Know”
3:00 – 4:45 pm
Concurrent Town Hall Sessions - "Town Hall II"3:00 – 4:45 pm
Concurrent Town
Hall
Sessions - "Town Hall III"
3:00
– 4:45 pm
“AML / KYC / BSA”
FIRMA’s
Welcome Reception
6:00 –8:00 pm
Keynote Session
8:00 -9:00 am
“An Asset Manager’s Perspective During the Credit Crisis – Counterparty Risk Management”“Alternative Investments – A Risk Management Perspective”
10:30 - 11:30 am
11:45 am - 1:00 pm
“Reg R – Here and Now”Concurrent
Sessions -
“Track I - ERISA”
8:00 -9:00 am
“ERISA Update”9:15 -10:15 am
“401(k) Fee Disclosure and 5500 Reporting”
10:30 -11:30 am
Concurrent
Sessions -
“Track II – Broker / Dealer Investment Advisor”
8:00 -9:00 am
“Rule 3040 – FINRA Proposed Rule 3110”9:15 -10:15 am
10:30 -11:30 am
"Overview of Key
Rules and Recent Regulatory Developments Affecting BDIA”
Concurrent
Sessions -
“Track III – Hot Topics”
8:00 -9:00 am
“Independent Fiduciary Reviews”9:15 -10:15 am
10:30 -11:30 am
"A
Paperless Trust Department”
Concurrent
Sessions -
“Track IV – Regulatory”
8:00 -9:00 am
“Regulator Open Session – OCC”9:15 -10:15 am
“Regulator Open Session – FED”
10:30 -11:30 am
"Regulator
Open Session – SEC”
General Session
11:45 am - 1:15 pm
“FIRMA Annual Membership Meeting”Concurrent Sessions – "Track I – ERISA"
1:15 - 2:15 pm2:30 - 3:30 pm
“Pension Protection Act Update – Statutory and Regulatory Update”3:45 - 4:45 pm
“Fiduciary Roundtable – Small Bank”Concurrent Sessions – "Track II – Broker / Dealer Investment Advisor"
1:15 - 2:15 pm2:30 - 3:30 pm
“BDIA Conflicts of Interest”3:45 - 4:45 pm
“Investment Advisor Roundtable”Concurrent Sessions – "Track III – Hot Topics"
1:15 - 2:15 pm“Corporate Actions and Class Actions”
2:30 - 3:30 pm
“Challenges of Pricing and Evaluation Services in an Illiquid Market”3:45 - 4:45 pm
“Fiduciary Roundtable – Large Bank”Concurrent Sessions – "Track IV – Regulatory"
1:15 - 2:15 pm“Regulator Open Session – OTS”
2:30 - 3:30 pm
“Regulator Open Session – FDIC”3:45 - 4:45 pm
“Regulatory Roundtable”Keynote Session
8:00 – 9:00 am
General Sessions
9:15 – 10:15 am
10:30 - 11:30 am
“Compliance Oversight for BD and Asset/Wealth Management”
Conference Adjourns
11:30 am
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