Conference Materials

FIRMA Conference Materials

2018

Agenda

Sunday, April 22, 2018

1:00 PM - 4:00 PM : Enterprise-Wide Vendor Management

1:00 PM - 4:00 PM : Workshop II: Core Tenets for Effective Operational Fiduciary Risk Management Programs

Monday, April 23, 2018

8:15 AM - 9:15 AM : Keynote: A Little Paranoia Goes a Long Way these Days: Risk, Regulation, and Reputation

9:30 AM - 10:30 AM : The U.S. and Global Economy: Late-Cycle Challenges and Opportunities

10:45 AM - 11:45 AM : Conficts of Interest – The Fiduciary’s Bane

1:00 PM - 2:00 PM : Middle Office Efficiencies

1:00 PM - 2:00 PM : Technology Innovations - Learning From the Past, With Eyes on the Future

1:00 PM - 2:00 PM : Monitoring the Trading Desk

1:00 PM - 2:00 PM : Regulatory Panel

2:15 PM - 2:15 PM : Evolving Your Anti-Money Laundering (AML) Program

2:15 PM - 3:15 PM : Regulatory Panel

2:15 PM - 3:15 PM : Digital Assets: Risk Mitigation

2:15 PM - 3:15 PM : Ethics

3:30 PM - 4:30 PM : Habits of a Highly Effective First Line of Defense in the Fiduciary Business

3:30 PM - 4:30 PM : Habits of the Highly Effective Compliance Manager

3:30 PM - 2:30 PM : Habits of a Highly Effective Audit Function

3:30 PM - 4:30 PM : Evolving Your Anti-Money Laundering (AML) Program

4:45 PM - 5:45 PM : Roundtable: Audit

4:45 PM - 5:45 PM : Roundtable: Risk/Compliance

4:45 PM - 5:45 PM : Roundtable: First Line of Defense

4:45 PM - 5:45 PM : Roundtable: First Line of Regulators

Tuesday, April 24, 2018

8:00 AM - 9:00 AM : Keynote: Lead Without Speaking - The Importance of Non-verbal Communication

9:15 AM - 10:15 AM : ABA Trust Legislative Update

10:30 AM - 11:30 AM : Cyber Security

11:45 AM - 12:45 PM : Fiduciary Conduct

2:30 PM - 4:30 PM : Focus Session I: What's Key in KRIs

2:30 PM - 4:30 PM : Risks and Oversight in Social Media in the Trust / Wealth Business

Wednesday, April 25, 2018

8:00 AM - 9:00 AM : Keynote: Maximizing Your Gen Y ROI

9:15 AM - 10:15 AM : DOL Rule – Critical Highlights and Status

9:15 AM - 10:15 AM : Delegation of Fiduciary Investment Responsibilities

9:15 AM - 10:15 AM : Playing with Matches: Avoiding the Trustee Risks You Didn’t Know Existed

9:15 AM - 10:15 AM : Shining a Light on New Business: What Lurks in the Shadows?

10:30 AM - 11:30 AM : ERISA Update - Considerations for Providers and their Clients

10:30 AM - 11:30 AM : Special Needs Trusts - Administration Challenges

10:30 AM - 11:30 AM : Delegation of Fiduciary Investment Responsibilities

10:30 AM - 11:30 AM : Countdown to T+0

1:15 PM - 2:15 PM : ERISA Update - Considerations for Providers and their Clients

1:15 PM - 2:15 PM : Whistleblowing as Part of Compliance Program DNA

1:15 PM - 2:15 PM : Wealthy Clients Love to Collect Hard To Value Assets

1:15 PM - 2:15 PM : FinTech: Innovating Digital Financial Services

2:30 PM - 3:30 PM : Review of the Past Year’s Significant, Curious, or Downright Fascinating Fiduciary Cases

2:30 PM - 3:30 PM : Data Analytics / Predictive Analytics

2:30 PM - 3:30 PM : Senior Clients: Financial Exploitation and Diminished Capacity

2:30 PM - 3:30 PM : IRA’s - Unique Assets and Other Current Risk Issues

3:45 PM - 4:45 PM : Current Fiduciary Litigation

3:45 PM - 4:45 PM : ROBO Advisor – Strategy and Risks

3:45 PM - 4:45 PM : Compliance Programs for Community Banks

3:45 PM - 4:45 PM : Managing the Risks of Account Officer Succession

Thursday, April 26, 2018

8:00 AM - 9:00 AM : Keynote: Remembering (and Forgetting) Black Monday

9:15 AM - 10:15 AM : Are You Ready for the New Perfect Storm?

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

10:30 AM - 11:30 AM : Conference Highlights and Key Takeaways: Risk / Compliance

10:30 AM - 11:30 AM : Conference Highlights and Key Takeaways: First Line of Defense

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

Speakers

Alden, Benjamin : ROBO Advisor – Strategy and Risks

Andrews, Don : Fiduciary Conduct

Bailey, Holly A. : Workshop II: Core Tenets for Effective Operational Fiduciary Risk Management Programs

Beshea, Bradley F. : Roundtable: Risk/Compliance

Beshea, Bradley F. : Conference Highlights and Key Takeaways: Risk / Compliance

Brodsky, Michael E. : Whistleblowing as Part of Compliance Program DNA

Buchanan, J. Phil : Managing the Risks of Account Officer Succession

Bujalski, Keith : Habits of a Highly Effective Audit Function

Calaby, Cecelia A. : ABA Trust Legislative Update

Carroll, David : Keynote: A Little Paranoia Goes a Long Way these Days: Risk, Regulation, and Reputation

Clark, John L. : Roundtable: First Line of Defense

Clark, John L. : Conference Highlights and Key Takeaways: First Line of Defense

Cook, Chris : Monitoring the Trading Desk

Coyne, Michael D. : Focus Session I: What's Key in KRIs

De Vries, Jennifer : Habits of a Highly Effective First Line of Defense in the Fiduciary Business

Dindoffer, Joan : Ethics

Dougherty, Paul : Evolving Your Anti-Money Laundering (AML) Program

Egbuono, Chiz : Regulatory Panel

Fata, Frances : Special Needs Trusts - Administration Challenges

Fitzsimons, Dana : Review of the Past Year’s Significant, Curious, or Downright Fascinating Fiduciary Cases

Goldberg, Bruce : Roundtable: Audit

Goldberg, Bruce : Conference Highlights and Key Takeaways: Audit

Gonc, Laszlo : Are You Ready for the New Perfect Storm?

Goodfellow, Nanna : Regulatory Panel

Grindstaff, Keith E. : Senior Clients: Financial Exploitation and Diminished Capacity

Halter, Michael : Middle Office Efficiencies

Henriques, Diana : Keynote: Remembering (and Forgetting) Black Monday

Hetherington, Cynthia : Risks and Oversight in Social Media in the Trust / Wealth Business

Hughes, James G. : Data Analytics / Predictive Analytics

Jaskinia, Katie : IRA’s - Unique Assets and Other Current Risk Issues

Jeanneret, Casey : Conference Highlights and Key Takeaways: First Line of Defense

Jonke, David : Roundtable: Risk/Compliance

Jonke, David : Conference Highlights and Key Takeaways: Risk / Compliance

Kelly, Scott : Roundtable: First Line of Regulators

Kelly, Scott : Conference Highlights and Key Takeaways: Regulators

Korzenik, Jeff : The U.S. and Global Economy: Late-Cycle Challenges and Opportunities

Kropschot, Jeffrey S. : Enterprise-Wide Vendor Management

Lavigne, Robert P : Enterprise-Wide Vendor Management

Levine, David : DOL Rule – Critical Highlights and Status

Maloy, Todd : Delegation of Fiduciary Investment Responsibilities

Marion, James : Conficts of Interest – The Fiduciary’s Bane

McDaniel, Aaron : Keynote: Maximizing Your Gen Y ROI

Mitchell, Ian : Technology Innovations - Learning From the Past, With Eyes on the Future

Norris, William T. : Roundtable: First Line of Defense

Orange, Michael W. : Regulatory Panel

Pastore, James J. : Cyber Security

Pattegar, Satish : Countdown to T+0

Pelcak, Gary : Roundtable: Audit

Pelcak, Gary : Conference Highlights and Key Takeaways: Audit

Rheam, Eric : Keynote: Lead Without Speaking - The Importance of Non-verbal Communication

Rinko, Machelle : Compliance Programs for Community Banks

Ryan, Alexander : ERISA Update - Considerations for Providers and their Clients

Shepherd, John L. : Digital Assets: Risk Mitigation

Sirgo, Linda : Workshop II: Core Tenets for Effective Operational Fiduciary Risk Management Programs

Stoeckert, Brian : FinTech: Innovating Digital Financial Services

Susini, Jason P. : Shining a Light on New Business: What Lurks in the Shadows?

Villwock, David S. : Habits of the Highly Effective Compliance Manager

Wert, Ronald : Regulatory Panel

Whalen, T. Kevin : Wealthy Clients Love to Collect Hard To Value Assets

Wolven, Lauren : Playing with Matches: Avoiding the Trustee Risks You Didn’t Know Existed