Sarasota, Florida April 2020 Conference

- The Ritz-Carlton, Sarasota, Florida

CSS Conferences + Education, held in prime locations around the United States, provide a forum for peer networking and the exchange of ideas and experiences in relaxed settings.

Join us at The Ritz-Carlton, Sarasota in Florida on April 27-29, 2020 to hear from a distinguished panel of speakers including regulators, chief compliance officers, in-house and outside counsel, service providers and other industry experts; and leave with a clear vision of regulatory expectations, your responsibilities, and the resources necessary for today, tomorrow and beyond.

We have a lot to offer! Check out our highlights below or download our PDF, and then:

  • Register for the conference using code CSSConf for $600 savings
  • Register for both the conference and a workshop using code CSS1590 for $800 savings
    (Make sure to add the workshop into your cart before checkout.)
SESSION SPOTLIGHT
  • Sessions focused on key topics including Form CRS; Practicing a Fiduciary Level Standard of Care; Newly Proposed Investment Adviser Marketing Rules; State, Federal & Global Data Privacy Law Changes; SEC Exam Trends and Preparation; Managing Data for U.S. & Global Regulatory Requirements, and more
FEATURED SPEAKERS
  • Christopher Cox – Former SEC Chair; Partner, Morgan, Lewis & Bockius LLP
  • Thomas Vartanian – Founder and Executive Director of the Financial Regulation & Technology Institute of George Mason University Antonin Scalia Law School
CUSTOMIZED LEARNING
  • Dedicated tracks for Private Fund Managers, Retail Wealth Advisors and Institutional Wealth Managers
  • Technology implementation tracks focusing on key and emerging challenges and solutions
  • Ethics workshop
  • Intimate peer discussion groups
ADDITIONAL ENRICHMENT EXPERIENCES
  • Corporate Social Responsibility activity to benefit local charity
  • Leisure activities
  • World-class networking
  • 1-on-1 Office Hours consultations

NOTE: The agenda is subject to change based upon developing regulatory events, changing compliance priorities, etc., up until the start of the conference. If you have any questions, please contact us.

7:00-8:00

BREAKFAST & CONFERENCE REGISTRATION

8:00-8:15

CONFERENCE KICKOFF & INTRODUCTION

8:15-9:15

FEATURED PRESENTATION
Thomas Vartanian Professor of Law and Founder & Executive Director, Financial Regulation & Technology Institute, George Mason University – Antonin Scalia Law School

9:15-9:30

Meet the Compliance Solutions Providers

9:30-10:30

GENERAL SESSION
Practicing a Reinterpreted Fiduciary Level Standard of Care

10:30-10:45

Networking Break

10:45-11:30

DISCUSSION GROUP (1 of 3)
Key Standard of Care Touch Points and Conflicts Disclosures: Retail Wealth Advisers

DISCUSSION GROUP (2 of 3)
Key Standard of Care Touch Points and Conflicts Disclosures: Institutional Wealth Managers

DISCUSSION GROUP (3 of 3)
Key Standard of Care Touch Points and Conflicts Disclosures: Private Fund Managers

TECHNOLOGY TRACK
Signal Roundtable Discussion

11:30-12:30

BREAKOUT SESSION (1 of 3)
Increased Challenges of Working with Seniors

BREAKOUT SESSION (2 of 3)
Providing Effective Compliance Training

BREAKOUT SESSION (3 of 3)
Private Fund Credit Issues

TECHNOLOGY TRACK
Signal Product Council & Roadmap

12:30-2:00

Lunch

2:00-2:15

Meet the Compliance Solutions Providers

2:15-3:15

GENERAL SESSION
OCIE Priorities & Examination Practices

TECHNOLOGY TRACK
Panel Discussion: Trading Analytics

3:15-4:00

DISCUSSION GROUP (1 of 3)
SEC Examination Preparation & Management Workshops – Retail Wealth Advisors

DISCUSSION GROUP (2 of 3)
SEC Examination Preparation & Management Workshops – Institutional Wealth Managers

DISCUSSION GROUP (3 of 3)
SEC Examination Preparation & Management Workshops – Private Fund Managers

TECHNOLOGY TRACK
Sentry Roundtable Discussion

4:00-4:15

Networking Break

4:15-5:00

BREAKOUT SESSION  (1 of 3)
Form ADV FAQs

BREAKOUT SESSION (2 of 3)
Private Fund Valuation Practices

BREAKOUT SESSION (3 of 3)
Applying ERISA to Qualified Pension Plans

TECHNOLOGY TRACK
Sentry Product Council and Roadmap

5:00-7:00

Welcome Reception

6:00-7:00

Morning Workout

7:00-8:15

BREAKFAST

7:30-8:15

WORKSHOP (1 of 3)
Risk Assessment – Retail Wealth Advisors

WORKSHOP (2 of 3)
Risk Assessment – Institutional Wealth Managers

WORKSHOP (3 of 3)
Risk Assessment – Private Fund Managers

8:15-8:30

Morning Welcome & Meet the Compliance Solution Providers

8:30-9:30

FEATURED PRESENTATION
Christopher Cox – Former SEC Chairman & Partner Morgan, Lewis & Bockius LLP

 

9:30-10:30

GENERAL SESSION
Update on State, Federal, and Global Data Privacy Law

TECHNOLOGY TRACK
ACM Core & COE Panel Discussion: Effective Compliance Management

10:30-10:45

Networking Break

 

10:45-11:45

BREAKOUT SESSION (1 of 3)
Principal and Agency Cross Trading Compliance Issues 

BREAKOUT SESSION (2 of 3)
Proxy Voting Responsibilities of Investment Advisers and Investment Companies 

BREAKOUT SESSION (3 of 3)
Consolidating Global Transaction Cost Reporting

TECHNOLOGY TRACK
ACM Core & COE Roundtable Discussion

11:45-12:45

BREAKOUT SESSION (1 of 3)
Global Regulations Impacting U.S. Firms

BREAKOUT SESSION (2 of3)
Cybersecurity Best Practices for Small Firms

BREAKOUT SESSION (3 of 3)
Life as a New CCO 

TECHNOLOGY TRACK
ACM Core & COE Product Council and Roadmap

12:45-2:30

Civic Responsibilities Activity

 

2:30-4:30

SUPPLEMENTAL LUNCH & LEARN
Ethics Workshop

SUPPLEMENTAL LUNCH & LEARN
Incident Management and Response Mandates Workshop

2:30-6:00

FREE TIME
Choice of Ringling Museum, Spa, Beach, Supplemental Lunch & Learn Workshops

6:00-7:00

COCKTAIL HOUR

7:00-10:00

DINNER EVENT

6:00-7:00

MORNING WORKOUT

7:30-8:30

BREAKFAST

8:30-9:30

BREAKFAST WORKSHOP (1 of 4)
Vendor Due Diligence Guidance

BREAKFAST WORKSHOP (2 of 4)
Private Funds & the Division of Enforcement

BREAKFAST WORKSHOP (3 of 4)
Form CRS

BREAKFAST WORKSHOP (4 of 4)
Cybersecurity Practices for Large Firms

9:30-10:30

BREAKOUT SESSION (1 of 3)
Annual Compliance Program Reviews and Reports

BREAKOUT SESSION (2 of 3)
ESG Mandates (Environmental, Social and Governance Exposure)

BREAKOUT SESSION (3 of 3)
Pay-to-Play Revisited in a Presidential Election Year 

TECHNOLOGY TRACK
Fund Reporting – Private Funds Filings, ADV & N-Port
Consensus & Accudelta Roundtable Discussion

10:30-10:45

Networking Break

10:45-11:00

Raffle Drawing

11:00-12:00

GENERAL SESSION
Managing Data Solutions for U.S. and Global Regulatory Requirements

TECHNOLOGY TRACK
Consensus & Accudelta Panel Discussion

12:00-1:00

GENERAL SESSION
New Investment Adviser Marketing Rules Proposed & Today’s Implementation

TECHNOLOGY TRACK
Consensus & Accudelta Product Council & Roadmap

1:00

CLOSE OF CONFERENCE

Christopher Cox

Partner

Morgan, Lewis & Bockius LLP

As President of Morgan Lewis Consulting, today Chris Cox shares his strategic insights at the board and executive levels with some of the world’s largest global companies. His advice draws on a deep background of exceptional experience. His career highlights include service as a White House counsel to President Ronald Reagan, seventeen years in Congress where he was the fifth-ranking leader of the US House of Representatives, and four years as Chairman of the US Securities and Exchange Commission (SEC). His government experience complements his deep knowledge of the private sector, gained during almost two decades as a practicing lawyer.

In addition to his role as President of the Morgan Lewis Consulting LLC’s global consulting business, he is also a partner in the Corporate and Business Transactions Group at Morgan, Lewis & Bockius LLP.

Thomas Vartanian

Professor of Law and Founder & Executive Director, Financial Regulation & Technology Institute

George Mason University - Antonin Scalia Law School

Thomas P. Vartanian is the Founder and Executive Director of the Financial Regulation & Technology Institute of George Mason University Antonin Scalia Law School, where he is also a Professor of Law. Between 1983 and 2018, he chaired the Financial Institution’s practices at Dechert LLP and Fried Frank through four financial crisis and was consistently recognized by clients as “one of the best financial services lawyers in America.”

Mr. Vartanian served in the Reagan Administration as General Counsel of the Federal Home Loan Bank Board and the FSLIC. He has authored more than four hundred articles and seven books, including 21st Century Money, Banking and Commerce. He is a frequent lecturer and media commentator on the financial services industry.

Mr. Vartanian has taught banking and electronic commerce law at Georgetown Law School, George Washington Law School, and Boston University School of Law, and has been a guest lecturer at Harvard Law School.

The Ritz-Carlton Sarasota

1111 Ritz Carlton Dr, Sarasota, FL 34236
Phone: 941-309-2000
Email: srqrz.leads@ritzcarlton.com
Web: https://www.ritzcarlton.com/en/hotels/florida/sarasota 

Offering an alluring blend of cosmopolitan charm and coastal elegance, The Ritz-Carlton, Sarasota is a destination unlike any other. The resort offers a superb vantage point to explore attractions, dining and museums, while its proximity to white-sand beaches and array of five-star amenities, including a luxury spa and an 18-hole championship golf course, allow guests to relax while experiencing the radiant natural beauty of Florida’s Gulf Coast.

Hotel Reservations

CSS has reserved a block of hotel rooms at the Ritz Carlton Sarasota for the nights of Sunday, April 26 – Wednesday, April 29, 2020.

The room rate of $289-$389 per night, based upon room type, is offered three days before and three days after the conference and is subject to availability. To ensure a room, reservations should be made as soon as possible, with the special rate ending on Thursday, March 26, 2020.

Please make your reservations at the dedicated event booking site here.

Recommended Airports

  • Sarasota/Bradenton International Airport (SRQ) is 4 miles away.
  • St. Petersburg-Clearwater International Airport (PIE) is 48 miles away.
  • Punta Gorda Airport (PGD) is 57 miles away.
  • Tampa International Airport (TPA) is 65 miles away.

Please contact the Ritz-Carlton concierge desk at 941-309-2160 to inquire about transportation services and fees.

Ritz-Carlton Sarasota Map

Local Attractions

Sarasota is renowned for its beaches, architecture, history and lively downtown area. It was recently ranked among the 10 best beach towns in the United States, but there is so much else to do besides soak up the sun. The Ritz-Carlton has compiled a thorough list of what the city has to offer.

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