Conference Materials

FIRMA Conference Materials

2022

Agenda

Sunday, May 1, 2022

11:30 AM - 1:00 PM : Workshop & Early Conference Check-in

1:00 PM - 4:00 PM : Workshop I: Cyber Risk

1:00 PM - 4:00 PM : Workshop II: Risk Management Pulse Check

4:30 PM - 6:00 PM : Conference Check-in

6:30 PM - 7:30 PM : New Attendee/Member Social

Monday, May 2, 2022

7:00 AM - 8:00 AM : Late Conference Check-in

7:00 AM - 8:00 AM : FIRMA Hosted Continental Breakfast

7:30 AM - 5:45 PM : Sponsor Booths & Breaks

8:00 AM - 9:15 AM : Keynote: Ransomware

9:30 AM - 10:30 AM : Emerging Risks/FinTech - Technology Disruptors

10:45 AM - 11:45 AM : Fiduciary Executive Panel - Current Events andTrends in Personal Trust

11:45 AM - 12:00 PM : Introduction of Sponsors / Exhibitors

12:00 PM - 1:00 PM : Luncheon

1:00 PM - 2:00 PM : Trust Regulatory and Legislative Update

1:00 PM - 2:00 PM : First Line Risk Basics

1:00 PM - 2:00 PM : The ESG Regulators Are Coming

1:00 PM - 2:00 PM : New IRA Rules: Is Your Firm Ready?

2:15 PM - 3:15 PM : Trust Regulatory and Legislative Update (REPEAT)

2:15 PM - 3:15 PM : Compliance Basics

2:15 PM - 3:15 PM : Handling Hard-To-Value Assets

2:15 PM - 3:15 PM : SEC Marketing - Performance Issues

3:30 PM - 4:30 PM : SEC Proxy Rule

3:30 PM - 4:30 PM : Auditing Basics

3:30 PM - 4:30 PM : Climate Change - Risk Planning and Reporting

3:30 PM - 4:30 PM : Managing and Monitoring Third Party Risks Takes First Priority

4:45 PM - 5:45 PM : Roundtable: Small & Regional Banks Audit

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

4:45 PM - 5:45 PM : Roundtable: Small & Regional Banks Risk/Compliance/FLOD

4:45 PM - 5:45 PM : Roundtable: Large Banks Risk/Compliance/FLOD

4:45 PM - 5:45 PM : Roundtable: Regulators

6:30 PM - 8:30 PM : FIRMA's Welcome Reception

Tuesday, May 3, 2022

7:00 AM - 8:00 AM : FIRMA Hosted Continental Breakfast

7:30 AM - 12:45 PM : Sponsor Booths & Breaks

8:00 AM - 9:00 AM : Keynote: Economic Update

9:15 AM - 10:15 AM : Regulator Panel

10:30 AM - 11:30 AM : Plagues, Plagues of Litigators, & A World of Financial Disruptions

10:30 AM - 11:30 AM : Auditing - Leveraging Work with Independence

10:30 AM - 11:30 AM : Tax-Optimized Investing in 2022

10:30 AM - 11:30 AM : Directed Trusts in Today's Fiduciary World

11:45 AM - 12:45 PM : Plagues, Plagues of Litigators, & A World of Financial Disruptions (REPEAT)

11:45 AM - 12:45 PM : Dealing with Investment Errors

11:45 AM - 12:45 PM : Collective Investment Funds

11:45 AM - 12:45 PM : Using Data Analytics in Trust Audits

2:00 PM - 4:00 PM : Focus Session I: Risk Assessment

2:00 PM - 4:00 PM : Focus Session II: Trust Related RIA Oversight - Risks and Hot Topics

Wednesday, May 4, 2022

7:00 AM - 8:00 AM : FIRMA Hosted Continental Breakfast

7:30 AM - 4:30 PM : Sponsor Booths & Breaks

8:00 AM - 9:00 AM : Keynote: Unstuck: How to Adapt At or above the Pace of Change

9:15 AM - 10:15 AM : ERISA Update

9:15 AM - 10:15 AM : Do's and Don't's of Disclosures

9:15 AM - 10:15 AM : The Three “R’s” of Estate Settlement: Responsibilities, Risks and Rewards

9:15 AM - 10:15 AM : Fiduciary Tax - Update and Overview

10:30 AM - 11:30 AM : ERISA Update (REPEAT)

10:30 AM - 11:30 AM : Agile Auditing and Risk Compliance

10:30 AM - 11:30 AM : Ambiguous Trust Language

10:30 AM - 11:30 AM : Operating Your Trust Powers in Today's FinTech Environment

11:30 AM - 1:00 PM : Luncheon

1:00 PM - 2:00 PM : Where to Find Your Investment Expertise

1:00 PM - 2:00 PM : Tales from the Front Lines of Intellectual Property and Intangible Property

1:00 PM - 2:00 PM : Do's and Don't's of Disclosures (REPEAT)

1:00 PM - 2:00 PM : AML/BSA Risks in the Fiduciary Space

2:15 PM - 3:15 PM : Alternative Investments - Organizing the Junk Drawer

2:15 PM - 3:15 PM : Administrative Account Reviews - What is the Right Frequency?

2:15 PM - 3:15 PM : Conflicts of Interest - Life Lessons Ancient & Modern ERM

2:15 PM - 3:15 PM : AML/BSA Risks in the Fiduciary Space (REPEAT)

3:30 PM - 4:30 PM : What are Blockchain and Cryptocurrency? An Overview and Use Cases

3:30 PM - 4:30 PM : Lending in Trusts

3:30 PM - 4:30 PM : Conflicts of Interest - Life Lessons Ancient & Modern ERM (REPEAT)

3:30 PM - 4:30 PM : The Power of the Basics - Account Reviews

Thursday, May 5, 2022

7:00 AM - 8:00 AM : FIRMA Hosted Continental Breakfast

7:30 AM - 11:30 AM : Sponsor Booths & Breaks

8:00 AM - 9:00 AM : Keynote: How to Future-Proof Your Business in Transformational Times

9:15 AM - 10:15 AM : DOL Fiduciary Rule

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

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

10:30 AM - 11:30 AM : Conference Highlights and Key Takeaways: Small & Regional Banks Risk/Compliance/FLOD

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

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

Speakers

Adams, Sarah : Agile Auditing and Risk Compliance

Andrews, Don : Conflicts of Interest - Life Lessons Ancient & Modern ERM

Andrews, Don : Conflicts of Interest - Life Lessons Ancient & Modern ERM (REPEAT)

Bailey , Gabrielle : Fiduciary Executive Panel - Current Events andTrends in Personal Trust

Bailey, Holly A. : Climate Change - Risk Planning and Reporting

Bankston, Matt : Focus Session II: Trust Related RIA Oversight - Risks and Hot Topics

Bazarow, Jamie : Regulator Panel

Bohlen, Neil : Auditing - Leveraging Work with Independence

Burns, Kevin J. : Workshop II: Risk Management Pulse Check

Campisi, Dominic J. : Plagues, Plagues of Litigators, & A World of Financial Disruptions

Campisi, Dominic J. : Plagues, Plagues of Litigators, & A World of Financial Disruptions (REPEAT)

Chastain, CTFA, CAMS, CIA, Clayton A. : Handling Hard-To-Value Assets

Compton, Ryan : Tales from the Front Lines of Intellectual Property and Intangible Property

Craig, Hunter W. : Where to Find Your Investment Expertise

Crawford, Harold : AML/BSA Risks in the Fiduciary Space

Crawford, Harold : AML/BSA Risks in the Fiduciary Space (REPEAT)

Danielson, Ricoh : Keynote: Ransomware

Danielson, Ricoh : Workshop I: Cyber Risk

Dindoffer, Joan : Focus Session I: Risk Assessment

Eby, Matthew C. : Operating Your Trust Powers in Today's FinTech Environment

Egbuonu, Chizoba : Regulator Panel

Eller, Jennifer : ERISA Update

Eller, Jennifer : ERISA Update (REPEAT)

Flubacher, Todd : Directed Trusts in Today's Fiduciary World

Fujisaki, CFIRS, CPA, Catherine M. : Roundtable: Small & Regional Banks Risk/Compliance/FLOD

Fujisaki, CFIRS, CPA, Catherine M. : Conference Highlights and Key Takeaways: Small & Regional Banks Risk/Compliance/FLOD

Goldberg, Bruce : Roundtable: Large Banks Audit

Goldberg, Bruce : Conference Highlights and Key Takeaways: Large Banks Audit

Gray, Mark T. : Roundtable: Large Banks Risk/Compliance/FLOD

Gray, Mark T. : Conference Highlights and Key Takeaways: Large Banks Risk/Compliance/FLOD

Hart, Douglas P. : Fiduciary Tax - Update and Overview

Hays, Mark : The ESG Regulators Are Coming

Hindel , Joanne : Ambiguous Trust Language

Hindel , Joanne : Lending in Trusts

Keehan, Timothy E. : Trust Regulatory and Legislative Update

Keehan, Timothy E. : Trust Regulatory and Legislative Update (REPEAT)

Kelly, CFIRS, Scott : Roundtable: Regulators

Kelly, CFIRS, Scott : Conference Highlights and Key Takeaways: Regulators

Kennedy, Michael : First Line Risk Basics

Kieffer, CAIA, Daniel : Alternative Investments - Organizing the Junk Drawer

Korzenik, Jeff : Keynote: Economic Update

Kropschot, Jeffrey S. : Managing and Monitoring Third Party Risks Takes First Priority

Lowney, Mary Ann : The Power of the Basics - Account Reviews

Lyons, Gregory J. : Do's and Don't's of Disclosures

Lyons, Gregory J. : Do's and Don't's of Disclosures (REPEAT)

Madsen, Scott : Emerging Risks/FinTech - Technology Disruptors

Martin, Tod : Keynote: Unstuck: How to Adapt At or above the Pace of Change

Maxwell, Robert W. : The Three “R’s” of Estate Settlement: Responsibilities, Risks and Rewards

McCabe, CFIRS, CPA, CAMS, CISA, Natalie : Roundtable: Small & Regional Banks Audit

McCabe, CFIRS, CPA, CAMS, CISA, Natalie : Focus Session I: Risk Assessment

McCabe, CFIRS, CPA, CAMS, CISA, Natalie : Conference Highlights and Key Takeaways: Small and Regional Banks Audit

McDonald, Bart : Focus Session II: Trust Related RIA Oversight - Risks and Hot Topics

Milich, Michael : Fiduciary Executive Panel - Current Events andTrends in Personal Trust

Morrison, Denise : Roundtable: Large Banks Risk/Compliance/FLOD

Morrison, Denise : Conference Highlights and Key Takeaways: Large Banks Risk/Compliance/FLOD

Musselman, Mike : Tax-Optimized Investing in 2022

Palma, Tony : Roundtable: Large Banks Audit

Palma, Tony : Conference Highlights and Key Takeaways: Large Banks Audit

Pelcack, CTA, CFSA, CFE, CFSSP, Gary E. : Auditing Basics

Poole Jr., CPA, CFP®, John H : New IRA Rules: Is Your Firm Ready?

Rankin, Deanna : Conference Highlights and Key Takeaways: Small and Regional Banks Audit

Rankin, CFIRS, Deanna : Roundtable: Small & Regional Banks Audit

Rao, Shreyas : Agile Auditing and Risk Compliance

Rhodes, Amy : Administrative Account Reviews - What is the Right Frequency?

Rinko, CPA, CIA, CFIRS, Machelle : Using Data Analytics in Trust Audits

Rivanshokooh, Roza : SEC Marketing - Performance Issues

Roberts, Jason C. : DOL Fiduciary Rule

Rodriguez, Ashley : Dealing with Investment Errors

Severyn, Carol : Focus Session I: Risk Assessment

Temple, AIFA, GFS, John D. : Roundtable: Small & Regional Banks Risk/Compliance/FLOD

Temple, AIFA, GFS, John D. : Conference Highlights and Key Takeaways: Small & Regional Banks Risk/Compliance/FLOD

Uldrich, Jack : Keynote: How to Future-Proof Your Business in Transformational Times

Villwock, David : Fiduciary Executive Panel - Current Events andTrends in Personal Trust

Villwock, David : Compliance Basics

Watson, Chris : SEC Proxy Rule

Weiss, Gail : Collective Investment Funds

Whelan, John : What are Blockchain and Cryptocurrency? An Overview and Use Cases