32nd National Risk Management Training Conference
San Diego, California
April 22-26, 2018
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Conference Materials

FIRMA Conference Materials

2015

Agenda

Sunday, April 19, 2015

1:00 PM - 4:00 PM : ARC - Audit, Risk, Compliance -- Making It Work in Your Organization

1:00 PM - 4:00 PM : Building a Wealth Management Risk Assessment Model

Monday, April 20, 2015

8:15 AM - 9:15 AM : Keynote: Family Wealth - Is it Really About the Money?

9:30 AM - 10:30 AM : AML in the Digital/CryptoCurrency Environment

10:45 AM - 11:45 AM : Global and Domestic Economic Conditions and Their Affect on Wealth Management

11:45 AM - 1:15 PM : Luncheon with Speaker: LeaderMetrics: What Key Decision-makers Need to Know When Serving in a Key Leadership Role

1:15 PM - 2:30 PM : Optimizing Risk Management

1:15 PM - 2:30 PM : Three Lines of Defense for Trust Account Reviews

1:15 PM - 2:30 PM : Who Do You Trust? Know Your Customer...and All Things AML in the Trust World

2:45 PM - 4:00 PM : Who Do You Trust? Know Your Customer...and All Things AML in the Trust World (REPEAT)

2:45 PM - 4:00 PM : Optimizing Risk Management (REPEAT)

2:45 PM - 4:00 PM : Three Lines of Defense for Trust Account Reviews (REPEAT)

4:15 PM - 5:30 PM : Roundtable-Large Institutions

4:15 PM - 5:30 PM : Roundtable-Regulators

4:15 PM - 5:30 PM : Roundtable-Small to Midsize Institutions

Tuesday, April 21, 2015

8:00 AM - 9:00 AM : Keynote: How to Use the New Body Language to Turn Cubic Zirconia Relationships into Diamond Relationships

9:15 AM - 10:15 AM : Managing Risk: Hot Topics within the Investment Management Industry

10:30 AM - 12:00 PM : Regulator Panel

12:15 PM - 1:15 PM : Trust Legislative Update

2:45 PM - 4:45 PM : Approaching Risk Management from Square One for Wealth Management

Wednesday, April 22, 2015

8:00 AM - 9:00 AM : Keynote: The Legacy of Bernie Madoff

9:15 AM - 10:15 AM : Migration to T+2 Settlements

9:15 AM - 10:15 AM : Risk Management for Third Party Relationships--OCC Expectations for Wealth Management Activities

9:15 AM - 10:15 AM : RC-T Reporting--Your Risk Tips & Traps

9:15 AM - 10:15 AM : ILITs

10:30 AM - 11:30 AM : Hedge Funds/Alternatives/ ETFs (Deeper Dive)

10:30 AM - 11:30 AM : Operational Risk Management: New Products and Offerings

10:30 AM - 11:30 AM : Proxy Voting Due Diligence

10:30 AM - 11:30 AM : FATCA & Muni Advisor Post Mortem

1:15 PM - 2:15 PM : Operational Risk Management: New Products and Offerings (REPEAT)

1:15 PM - 2:15 PM : Conflicts of Interest--Is Your Program Effective?

1:15 PM - 2:15 PM : ERISA Update

1:15 PM - 2:15 PM : The Tale of Enron: What the Smartest Guys in a Room Can Teach Us About Concentrations!

2:30 PM - 3:30 PM : Trust & Wealth Management Audit Risk Strategies

2:30 PM - 3:30 PM : The Tale of Enron: What the Smartest Guys in a Room Can Teach Us About Concentrations! (REPEAT)

2:30 PM - 3:30 PM : How to Mitigate Litigation Risk

2:30 PM - 3:30 PM : IRA Custodial Responsibilities

3:45 PM - 4:45 PM : IRA Custodial Responsibilities (REPEAT)

3:45 PM - 4:45 PM : Medallion Stamp, Notary and Guarantee Signature Risks

3:45 PM - 4:45 PM : CrowdFunding

3:45 PM - 4:45 PM : Trust & Wealth Management Audit Risk Strategies (REPEAT)

Thursday, April 23, 2015

8:00 AM - 9:00 AM : Keynote: Today's Risk Management Challenges for Wealth

9:15 AM - 10:15 AM : Fiduciary and Trust Governance-Are You Informing the Right People in the Right Positions About Fiduciary Risk?

10:30 AM - 11:30 AM : Conference Highlights and Key Takeaways: Small to Midsize Institutions

10:30 AM - 11:30 AM : Conference Highlights and Key Takeaways: Large Institutions

10:30 AM - 11:30 AM : Conference Highlights and Key Takeaways: Regulators

Speakers

Alyward, Patrick : FATCA & Muni Advisor Post Mortem

Austin, Deborah : Conflicts of Interest--Is Your Program Effective?

Burr, James : FATCA & Muni Advisor Post Mortem

Calaby, Cecilia : Trust Legislative Update

Dahl, James : How to Mitigate Litigation Risk

Dalton, Tish : Regulator Panel

Dalton, Tish : Risk Management for Third Party Relationships--OCC Expectations for Wealth Management Activities

De Vries, Jennifer : Roundtable-Large Institutions

De Vries, Jennifer : Conference Highlights and Key Takeaways: Large Institutions

DeMaris, Fran : ILITs

Dindoffer, Joan : Who Do You Trust? Know Your Customer...and All Things AML in the Trust World

Dindoffer, Joan : Who Do You Trust? Know Your Customer...and All Things AML in the Trust World (REPEAT)

Dow, James : Regulator Panel

Edwards, Bev : IRA Custodial Responsibilities

Edwards, Bev : IRA Custodial Responsibilities (REPEAT)

Eller, Jennifer : ERISA Update

Fay, Michael : Managing Risk: Hot Topics within the Investment Management Industry

Garcia, Lisa : Operational Risk Management: New Products and Offerings

Garcia, Lisa : Operational Risk Management: New Products and Offerings (REPEAT)

Goldberg, Bruce : Roundtable-Small to Midsize Institutions

Goldberg, Bruce : Conference Highlights and Key Takeaways: Small to Midsize Institutions

Heilmann, Chris : Keynote: Family Wealth - Is it Really About the Money?

Henriques, Diana : Keynote: The Legacy of Bernie Madoff

Johanneck, Randy : Who Do You Trust? Know Your Customer...and All Things AML in the Trust World

Johanneck, Randy : Who Do You Trust? Know Your Customer...and All Things AML in the Trust World (REPEAT)

Jonke, David : Building a Wealth Management Risk Assessment Model

Jonke, David : Roundtable-Large Institutions

Jonke, David : Conference Highlights and Key Takeaways: Large Institutions

Koehn, Karen : RC-T Reporting--Your Risk Tips & Traps

Kropschot, Jeffrey : Building a Wealth Management Risk Assessment Model

Kropschot, Jeffrey : Roundtable-Regulators

Kropschot, Jeffrey : Conference Highlights and Key Takeaways: Regulators

LaPierre, Mary : Medallion Stamp, Notary and Guarantee Signature Risks

Lee, Duane : Three Lines of Defense for Trust Account Reviews

Lee, Duane : Three Lines of Defense for Trust Account Reviews (REPEAT)

Marion, James : Fiduciary and Trust Governance-Are You Informing the Right People in the Right Positions About Fiduciary Risk?

Norris, William : Hedge Funds/Alternatives/ ETFs (Deeper Dive)

O'Hanlon, Elizabeth : Proxy Voting Due Diligence

Pattegar, Satish : ARC - Audit, Risk, Compliance -- Making It Work in Your Organization

Pattegar, Satish : Optimizing Risk Management

Pattegar, Satish : Optimizing Risk Management (REPEAT)

Pelcak, Gary : Roundtable-Small to Midsize Institutions

Pelcak, Gary : Conference Highlights and Key Takeaways: Small to Midsize Institutions

Perlmutter, Mark : CrowdFunding

Perryman, Ray : Global and Domestic Economic Conditions and Their Affect on Wealth Management

Pinkerton, Brian : Approaching Risk Management from Square One for Wealth Management

Smith, Marilyn : ARC - Audit, Risk, Compliance -- Making It Work in Your Organization

Smith, Marilyn : Optimizing Risk Management

Smith, Marilyn : Optimizing Risk Management (REPEAT)

Stoeckert, Brian : AML in the Digital/CryptoCurrency Environment

Thomas, Francis : Trust & Wealth Management Audit Risk Strategies

Thomas, Francis : Trust & Wealth Management Audit Risk Strategies (REPEAT)

Ulrich, Christopher : Keynote: How to Use the New Body Language to Turn Cubic Zirconia Relationships into Diamond Relationships

Usmani, Asma : The Tale of Enron: What the Smartest Guys in a Room Can Teach Us About Concentrations!

Usmani, Asma : The Tale of Enron: What the Smartest Guys in a Room Can Teach Us About Concentrations! (REPEAT)

Walter-Clifton, Carla : Regulator Panel

Weiss, Gail : Migration to T+2 Settlements

Whalen, T. Kevin : Approaching Risk Management from Square One for Wealth Management

Williams, Julie : Keynote: Today's Risk Management Challenges for Wealth