Agenda

Sunday, April 27, 2014

1:00 PM - 4:00 PM : Pre-Conference Workshop I - Fiduciary Dashboards and Benchmarking

1:01 PM - 4:00 PM : Pre-Conference Workshop II - Writing it Right – Writing Effective Audit Reports

Monday, April 28, 2014

8:15 AM - 9:15 AM : Keynote Address - Litigation Risk–Trends in Wealth Management and Retirement

9:30 AM - 10:30 AM : UDAAP

1:15 PM - 2:30 PM : Fiduciary Litigation

1:15 PM - 2:30 PM : ERISA Update

1:15 PM - 2:30 PM : Advanced Session / Operations

2:45 PM - 4:00 PM : Fiduciary Litigation-REPEAT SESSION

2:45 PM - 4:00 PM : ERISA Update-REPEAT SESSION

2:45 PM - 4:00 PM : Advanced Session / Operations-REPEAT SESSION

4:15 PM - 5:30 PM : Roundtable-Community Banks

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

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

Tuesday, April 29, 2014

8:00 AM - 9:00 AM : Keynote Session - Sticking Points: How to Get the Four Generations Working Together in the 12 Places They Come Apart

9:15 AM - 10:15 AM : Panel – Operations Risk – Update / Hot Topics

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

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

2:30 PM - 4:30 PM : In-Conference Seminar: Preparing for & Managing a Regulatory Exam

Wednesday, April 30, 2014

8:00 AM - 9:00 AM : Keynote Session-Cyber Security

9:15 AM - 10:15 AM : Administrative Risks with Foundations / Endowments

9:15 AM - 10:15 AM : Risks Through the Convergence of Digital Technologies

9:15 AM - 10:15 AM : The Fiduciary Standard: What Could Change to the DOL Standard Mean

9:15 AM - 10:15 AM : Working Through Risk Appetite

10:30 AM - 11:30 AM : Anti Money-Laundering

10:30 AM - 11:30 AM : Foreign Tax Reclamations

10:30 AM - 11:30 AM : Directed Trusts

10:30 AM - 11:30 AM : Risks Related to Client Disbursements

1:15 PM - 2:15 PM : Deeper Dive – Trading Risks

1:15 PM - 2:15 PM : Elder Abuse – Neglect and Exploitation

1:15 PM - 2:15 PM : IRAs

1:15 PM - 2:15 PM : Special Needs Trusts (SNTs) for the Disabled

2:30 PM - 3:30 PM : Corporate Governance and Business Ethics

2:30 PM - 3:30 PM : Electronic Signatures in Global and National Commerce Act at Your Company

2:30 PM - 3:30 PM : Just Because You’re an Expert…. Doesn’t Make You Interesting

2:30 PM - 3:30 PM : Identity Theft Investigations

3:45 PM - 4:45 PM : Customer Complaints

3:45 PM - 4:45 PM : FATCA: The Time Has Finally Arrived to Implement

3:45 PM - 4:45 PM : Muni Advisor Rule

3:45 PM - 4:45 PM : Trade Operations/Trade Errors/Trade Limits/Soft Dollars

Thursday, May 1, 2014

8:00 AM - 9:00 AM : Keynote Session-The Dirty End of a Cyberattack

9:15 AM - 10:15 AM : Executive Panel – Effective ERM / Fiduciary Risk Management Program

10:30 AM - 11:30 AM : Conference Highlights & Key Takeaways / Community Bank

10:30 AM - 11:30 AM : Conference Highlights & Key Takeaways / Large Bank

11:30 AM - 11:30 AM : Conference Highlights & Key Takeaways / Regulator

Speakers

Alexander, Clifford : Muni Advisor Rule

Antonelli, Pamela : Panel – Operations Risk – Update / Hot Topics

Austin, Deborah : In-Conference Seminar: Preparing for & Managing a Regulatory Exam

Buffington, Mary Beth : Panel – Operations Risk – Update / Hot Topics

Calaby, Cecelia A. : Trust Legislative Update

Campbell, Bradford : IRAs

Campisi, Dominic : Fiduciary Litigation

Chaparro, Francisca : Electronic Signatures in Global and National Commerce Act at Your Company

Compton, Mark : Advanced Session / Operations

Dalton, Tish : Regulator Panel

De Vries, Jennifer : Conference Highlights & Key Takeaways / Large Bank

De Vries, Jennifer : Roundtable-Large Banks

DiMilo, Anthony : Regulator Panel

Dow, James : Regulator Panel

Fanic, Tani : Administrative Risks with Foundations / Endowments

Foy, Askari : Regulator Panel

Frozena, Angela : Conference Highlights & Key Takeaways / Regulator

Frozena, Angela : Roundtable-Regulators

Frye, David : Risks Related to Client Disbursements

Goldberg, Bruce : Conference Highlights & Key Takeaways / Community Bank

Goldberg, Bruce : Roundtable-Community Banks

Hetherington, Cynthia : Identity Theft Investigations

Homoly, Paul : Just Because You’re an Expert…. Doesn’t Make You Interesting

Imm, Gregory : UDAAP

Johanneck, Randy : Executive Panel – Effective ERM / Fiduciary Risk Management Program

Jonke, David : Panel – Operations Risk – Update / Hot Topics

Jonke, David : Executive Panel – Effective ERM / Fiduciary Risk Management Program

Jonke, David : Roundtable-Large Banks

Kleinman, Daniel : The Fiduciary Standard: What Could Change to the DOL Standard Mean

Kropschot, Jeffrey S. : In-Conference Seminar: Preparing for & Managing a Regulatory Exam

Kropschot, Jeffrey S. : Regulator Panel

Kropschot, Jeffrey S. : Customer Complaints

Kropschot, Jeffrey S. : Conference Highlights & Key Takeaways / Regulator

Kropschot, Jeffrey S. : Roundtable-Regulators

Lettau, Denise : Elder Abuse – Neglect and Exploitation

Maloney, Eugene F. : Keynote Address - Litigation Risk–Trends in Wealth Management and Retirement

Marion, James : Directed Trusts

Oeth, Christy : Deeper Dive – Trading Risks

Palma, Anthony : Corporate Governance and Business Ethics

Pelcak, Gary : Conference Highlights & Key Takeaways / Community Bank

Pelcak, Gary : Conference Highlights & Key Takeaways / Large Bank

Pelcak, Gary : Roundtable-Community Banks

Petro, Joseph : Keynote Session-The Dirty End of a Cyberattack

Ristuccia, Henry : Executive Panel – Effective ERM / Fiduciary Risk Management Program

Roche, Jerome : Advanced Session / Operations

Ruch, Trey : Trade Operations/Trade Errors/Trade Limits/Soft Dollars

Sargent, Sally Larson : Special Needs Trusts (SNTs) for the Disabled

Shaw, Haydn : Keynote Session - Sticking Points: How to Get the Four Generations Working Together in the 12 Places They Come Apart

Shepard, Michael : Anti Money-Laundering

Shepard, Michael : FATCA: The Time Has Finally Arrived to Implement

Smith, Marilyn : Working Through Risk Appetite

Treut, William : Foreign Tax Reclamations

Ufford, Roberta : ERISA Update

Wasti, Khalid : Risks Through the Convergence of Digital Technologies

Weiss, Errol : Keynote Session-Cyber Security

Whalen, T. Kevin : Panel – Operations Risk – Update / Hot Topics

Whalen, T. Kevin : Risks Related to Client Disbursements