Conference Materials

FIRMA Conference Materials

2019

Agenda

Sunday, May 5, 2019

1:00 PM - 4:00 PM : Pre-Conference Workshop II-First vs. Second Line of Defense

1:00 PM - 4:00 PM : Pre-Conference Workshop I -Administering Trusts and Developing Fiduciary Solutions in the Modern Age: Are We Creeping Out of the Cave?

4:30 PM - 5:30 PM : New Attendee / New Member Social

Monday, May 6, 2019

8:00 AM - 8:15 AM : Welcoming Remarks

8:15 AM - 9:15 AM : Keynote: It's About the People: A Culture of Cybersecurity

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

10:45 AM - 11:45 AM : General Session - I’ll Make You an Offer You Can’t Refuse: Insights from a Former Mob Boss on Ethics and Morals

11:45 AM - 1:00 PM : Luncheon

1:00 PM - 3:00 PM : Breakout Sessions - Regulatory Panel

1:00 PM - 3:00 PM : Breakout Sessions - Managing Conficts of Interest

1:00 PM - 3:00 PM : Breakout Sessions - Sales Practices and Bad Behavior

1:00 PM - 3:00 PM : Breakout Sessions - Assessing Fiduciary Complaints

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

2:15 PM - 3:15 PM : Breakout Sessions - ERISA Update: Tips & Traps for Fiduciaries

2:15 PM - 3:15 PM : Breakout Sessions - Tax Reform

2:15 PM - 3:15 PM : Breakout Sessions - Strategies for Small Audit Departments

3:30 PM - 4:30 PM : Breakout Sessions - Crypto 101 - Bitcoin: A Currency, Investment, or Neither?

3:30 PM - 4:30 PM : Breakout Sessions - ERISA Update: Tips & Traps for Fiduciaries

3:30 PM - 4:30 PM : Breakout Sessions - Lessons Learned After One Year of GDPR

3:30 PM - 4:30 PM : Breakout Sessions - It’s Just an Irrevocable Life Insurance Trust –Nothing to Worry About, Right?

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

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

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

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

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

Tuesday, May 7, 2019

8:00 AM - 9:00 AM : Keynote Session - Reputational Risk Management in Financial Services

9:15 AM - 10:15 AM : General Session - Fiduciary Executive Panel – Personal Trust – Our Changing World

10:30 AM - 11:30 AM : General Session - Future of Fiduciary Risk: Robotics, AI, Machine Learning

11:45 AM - 12:45 PM : General Session - Governance Structure

2:30 PM - 4:30 PM : Focus Session I - Fiduciary – Not Just Reg 9

2:30 PM - 4:30 PM : Focus Session II - Complex Investment Strategies and Exchange Traded Products

Wednesday, May 8, 2019

8:00 AM - 9:00 AM : Keynote Session - Thinking Anew for All Things Digital

9:15 AM - 10:15 AM : Breakout Sessions - ABA Trust Legislative Update: Our Positive Policy Environment

9:15 AM - 10:15 AM : Breakout Sessions - Conficts: Reg W is Only the Beginning...

9:15 AM - 10:15 AM : Breakout Sessions - Work Force of the Future

9:15 AM - 10:15 AM : Breakout Sessions - Key Risks in Retirement Plan Products and Services

10:30 AM - 11:30 AM : Breakout Sessions - ABA Trust Legislative Update: Our Positive Policy Environment

10:30 AM - 11:30 AM : Breakout Sessions - Does It Really Matter When It Comes to Being A Fiduciary to a 401(k) Plan?

10:30 AM - 11:30 AM : Breakout Sessions - ROBO Advisory vs. Wealth Advisory

10:30 AM - 11:30 AM : Breakout Sessions - SEC Influence to Trusts

11:45 AM - 1:15 PM : Luncheon and Meeting - “FIRMA Annual Membership Meeting”

1:15 PM - 2:15 PM : Breakout Sessions - Institutional Account Risk

1:15 PM - 2:15 PM : Breakout Sessions - Leading Internal Audit Practices

1:15 PM - 2:15 PM : Breakout Sessions - AML

1:15 PM - 2:15 PM : Breakout Sessions - Generation Skipping Tax

2:30 PM - 3:30 PM : Breakout Sessions - Power of Attorney Risks

2:30 PM - 3:30 PM : Breakout Sessions - The Three Lines of Defense in the Boardroom

2:30 PM - 3:30 PM : Breakout Sessions - The Benefits of Automation of Contract Management and E-Signature

2:30 PM - 3:30 PM : Breakout Sessions - Fiduciary Fraud

3:45 PM - 4:45 PM : Breakout Sessions - Investment Performance – Benchmarks, Models, and GIPS®

3:45 PM - 4:45 PM : Breakout Sessions - Uniform Directed Trusts

3:45 PM - 4:45 PM : Breakout Sessions - Fiduciary Fraud

3:45 PM - 4:45 PM : Breakout Sessions - Mind, Heart and Wallet: Trends in Socially Responsible Investing

Thursday, May 9, 2019

8:00 AM - 9:00 AM : Keynote Session - Top Five Fiduciary Risks

9:15 AM - 10:15 AM : General Session - Trust 2030

10:30 AM - 11:30 AM : Roundtable Sessions- Conference Highlights & Key Takeaways: Audit

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

10:30 AM - 11:30 AM : Roundtable Sessions- Conference Highlights & Key Takeaways:Large Bank / Risk / Compliance / FLOD

10:30 AM - 11:30 AM : Roundtable Sessions- Conference Highlights & Key Takeaways: Regulator

Speakers

Austin, Deborah : Pre-Conference Workshop II-First vs. Second Line of Defense

Bailey , Gabrielle : General Session - Fiduciary Executive Panel – Personal Trust – Our Changing World

Beck, CFP®, CAIA, CIPM, Michael : Breakout Sessions - Investment Performance – Benchmarks, Models, and GIPS®

Beshea, Bradley F. : Roundtable Sessions - Small and Regional Banks / Risk / Compliance / FLOD

Beshea , Bradley F. : Roundtable Sessions- Conference Highlights & Key Takeaways:Small & Regional Banks / Risk / Compliance / FLOD

Brian, Merrill : Breakout Sessions - Sales Practices and Bad Behavior

Buchanan , J. Phil : General Session - Trust 2030

Calaby , Cecelia : Breakout Sessions - ABA Trust Legislative Update: Our Positive Policy Environment

Calaby , Cecelia : Breakout Sessions - ABA Trust Legislative Update: Our Positive Policy Environment

Calacagno, Anthony : Breakout Sessions - Regulatory Panel

Calacagno, Anthony : Breakout Sessions - Regulatory Panel

Dahya, Yasmin : Focus Session II - Complex Investment Strategies and Exchange Traded Products

Dalton, Tish : Breakout Sessions - Regulatory Panel

Dalton, Tish : Breakout Sessions - Regulatory Panel

De Vries, Jennifer : General Session - Governance Structure

De Vries, Jennifer : Roundtable Sessions- Conference Highlights & Key Takeaways:Large Bank / Risk / Compliance / FLOD

De Vries, CTA, Jennifer L. : Roundtable Sessions - Large Banks / Risk / Compliance / FLOD

Divers, Larry : Breakout Sessions - Key Risks in Retirement Plan Products and Services

Durkin , CFA , Anne T. : Breakout Sessions - Mind, Heart and Wallet: Trends in Socially Responsible Investing

Echols, Michael A. : Keynote: It's About the People: A Culture of Cybersecurity

Epstein , Peter : Focus Session II - Complex Investment Strategies and Exchange Traded Products

Franzese, Michael : General Session - I’ll Make You an Offer You Can’t Refuse: Insights from a Former Mob Boss on Ethics and Morals

Garcia, Luis : Breakout Sessions - ROBO Advisory vs. Wealth Advisory

Gattuso, Maria : Breakout Sessions - Sales Practices and Bad Behavior

Goldberg, CTA, CPA, Bruce K. : Roundtable Sessions - Audit

Goldberg, CTA, CPA, Bruce K. : Roundtable Sessions- Conference Highlights & Key Takeaways: Audit

Goodfellow, Nanna : Breakout Sessions - Regulatory Panel

Goodfellow, Nanna : Breakout Sessions - Regulatory Panel

Gray, Sean : General Session - Governance Structure

Hindel , Joanne : Breakout Sessions - Power of Attorney Risks

Jeanneret, CBA, CFIRS, Casey : Roundtable Sessions - Small and Regional Banks / Risk / Compliance / FLOD

Jeanneret, CBA, CFIRS, Casey : Roundtable Sessions- Conference Highlights & Key Takeaways:Small & Regional Banks / Risk / Compliance / FLOD

Johnsey, Esquire, C. Gray : Breakout Sessions - Tax Reform

Jonke, David : Roundtable Sessions- Conference Highlights & Key Takeaways:Large Bank / Risk / Compliance / FLOD

Jonke, CTA, CPA, David B. : Roundtable Sessions - Large Banks / Risk / Compliance / FLOD

Juliano, Anthony : Breakout Sessions - Crypto 101 - Bitcoin: A Currency, Investment, or Neither?

Kannan, Lakshman : Breakout Sessions - Fiduciary Fraud

Kannan, Lakshman : Breakout Sessions - Fiduciary Fraud

Kelly, CFIRS, Scott : Roundtable Sessions - Regulators

Kelly, CFIRS, Scott : Roundtable Sessions- Conference Highlights & Key Takeaways: Regulator

Kennedy, Michael : General Session - Fiduciary Executive Panel – Personal Trust – Our Changing World

Klein, Mitchell : Breakout Sessions - The Benefits of Automation of Contract Management and E-Signature

Levine, Joshua : Focus Session II - Complex Investment Strategies and Exchange Traded Products

Lowney, Mary Ann : Breakout Sessions - Conficts: Reg W is Only the Beginning...

Madsen, Geoffrey A. : Breakout Sessions - Uniform Directed Trusts

Marion, James M. : Keynote Session - Top Five Fiduciary Risks

Mitchell , Thomas : General Session - Governance Structure

Norris, William T. : Breakout Sessions - Managing Conficts of Interest

Orange, CFIRS, Michael W. : Breakout Sessions - Regulatory Panel

Orange, CFIRS, Michael W. : Breakout Sessions - Regulatory Panel

Panico-Marino, Rose : Breakout Sessions - Does It Really Matter When It Comes to Being A Fiduciary to a 401(k) Plan?

Pattegar, Satish : Focus Session I - Fiduciary – Not Just Reg 9

Pelcak, CTA, CFSA, CFE, Gary E. : Roundtable Sessions - Audit

Pelcak, CTA, CFSA, CFE, Gary E. : Roundtable Sessions- Conference Highlights & Key Takeaways: Audit

Pelcak, CTA, CFSA, CFE, Gary E. : Breakout Sessions - Strategies for Small Audit Departments

Pellicori, Louis : Keynote Session - Thinking Anew for All Things Digital

Picov, Josh : Keynote Session - Reputational Risk Management in Financial Services

Porter, Jennifer : Breakout Sessions - SEC Influence to Trusts

Ramer, Daniel E. : Pre-Conference Workshop I -Administering Trusts and Developing Fiduciary Solutions in the Modern Age: Are We Creeping Out of the Cave?

Renaud, CPA/MBA, Patrick G. : Breakout Sessions - Leading Internal Audit Practices

Rhatigan, Robert : Breakout Sessions - AML

Robert K. , Thompson, CFP, CRSP, AIF : Breakout Sessions - Institutional Account Risk

Roberts, Esq., AIFA®, Jason C. : Breakout Sessions - ERISA Update: Tips & Traps for Fiduciaries

Roberts, Esq., AIFA®, Jason C. : Breakout Sessions - ERISA Update: Tips & Traps for Fiduciaries

Sabino, Marc : General Session - Future of Fiduciary Risk: Robotics, AI, Machine Learning

Sawyer, David : Pre-Conference Workshop I -Administering Trusts and Developing Fiduciary Solutions in the Modern Age: Are We Creeping Out of the Cave?

Schor, Mike : Breakout Sessions - Work Force of the Future

Smith, Daniel : Breakout Sessions - Generation Skipping Tax

Smith, Marilyn : Focus Session I - Fiduciary – Not Just Reg 9

Smith, Marilyn : Breakout Sessions - Assessing Fiduciary Complaints

Sparano, Mark : Breakout Sessions - The Three Lines of Defense in the Boardroom

Speidel, Barb : General Session - Governance Structure

Vasquez, Diana : Pre-Conference Workshop II-First vs. Second Line of Defense

Webb, Justin P. : Breakout Sessions - Lessons Learned After One Year of GDPR

Wessels, Leon J. : Breakout Sessions - It’s Just an Irrevocable Life Insurance Trust –Nothing to Worry About, Right?

Zentner, Ellen : General Session - The U.S. & Global Economy: Cycle Challenges and Opportunities