Click here for the conference brochure in pdf format
Welcoming Remarks
8:00 - 8:15 am
Opening Address
8:15 - 9:15 am"A Higher Standard: Exceeding HNW Client Expectations in a Competitive Market”
General Sessions
9:30
–10:30 am
“Key Risk
Indicators”
10:45 - 11:45 am
Concurrent Sessions - “Track I - ERISA”1:15 – 2:15 pm
“ERISA - The State of the Industry”
2:30 – 3:30 pm
3:45 - 4:45 pm1:15 – 2:15 pm
“Generation Skipping Tax - The Tax that Keeps on Taking”
2:30 – 3:30 pm
“Charitable Trusts...Should You Lead or Follow?”
3:45 - 4:45 pm1:15 – 2:15 pm
“Why You Should Know About Structured Products”
2:30 – 3:30 pm
“BSA/AML/KYC Risk Ranking Monitoring Techniques”
3:45 - 4:45 pm1:15 – 2:15 pm
“Risks in Investing for High-Net-Worth Clients”
2:30 – 3:30 pm
“Investment Strategies Using Structured Products”
3:45 - 4:45 pmFIRMA’s Welcome Reception
6:00 –8:00 pm
General Sessions
8:00 -9:00 am
“Hot Fiduciary Legislative Issues”10:30 - 11:30 am
“Are Today’s Trust
Platforms Relevant to
Individual Trustees?”
11:45 am - 1:00 pm
“Abuse, Neglect and Financial Exploitation of the Elderly and Disabled”Concurrent
Sessions -
“ERISA”
8:00 -9:00 am
“Oversight of the ERISA Fiduciary”9:15 -10:15 am
“Post-PPA Plan Design Trends and Selected Compliance Issues”
10:30 -11:30 am
"Oversight of the ERISA Fiduciary”
Concurrent
Sessions -
“Track II – Investment Risk”
8:00 -9:00 am
“Highlights of Investment Adviser Marketing and Performance Advertising”9:15 -10:15 am
10:30 -11:30 am
"Highlights of
Investment Adviser Marketing and Performance Advertising”
Concurrent
Sessions -
“Track III – Trends”
8:00 -9:00 am
“Disaster Recovery – Lessons Learned”9:15 -10:15 am
“Record Retention to Manage Risk”
10:30 -11:30 am
Concurrent
Sessions -
“Track IV – Regulatory”
8:00 -9:00 am
“Regulator Open Session – OCC”9:15 -10:15 am
“Regulator Open Session – OTS”
10:30 -11:30 am
"Regulator Open Session –
FDIC”
General Sessions
11:45 am - 1:15 pm
“FIRMA Annual Membership Meeting”Concurrent Sessions – "Track I – ERISA"
1:15 - 2:15 pm“Service Provider Compensation: Are There New Limits”
2:30 - 3:30 pm
“EB Litigation”3:45 - 4:45 pm
“Fiduciary Roundtable – Small Bank”Concurrent Sessions – "Track II – Investment Risk"
1:15 - 2:15 pm“Challenging Asset Allocation Promises”
2:30 - 3:30 pm
“Valuation of Assets”3:45 - 4:45 pm
“Fiduciary Roundtable – Large Bank”Concurrent Sessions – "Track III – Operations & IT"
1:15 - 2:15 pm“Record Retention to Manage Risk”
2:30 - 3:30 pm
“Third Party / SAS 70 Reports - A Regulatory and Standards Update”3:45 - 4:45 pm
“Investment Advisor Roundtable”Concurrent Sessions – "Track IV – Regulatory"
1:15 - 2:15 pm“Regulator Open Session – FED”
2:30 - 3:30 pm
“Regulator Open Session –SEC”3:45 - 4:45 pm
“Regulatory Roundtable”General Sessions
8:00 – 9:00 am
“Understanding Criminal Intent”
9:15 – 10:15 am
“A New
Look
at Conflicts of Interest”
10:30 - 11:30 am
“Electronic Fraud – Techniques & Methodologies”
Conference Adjourns
11:30 am
Close Browser Window when you complete your search.
