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
Privacy Please! Update on State, Federal and Global Data Privacy Law Changes
The data privacy regulations keep on coming. With the California Consumer Privacy Act (CCPA) now in effect for California consumers, and numerous states following suit with their own privacy regulations, it is more important than ever for federally registered firms to take note of the state, national, and global regulatory landscape when it comes to data privacy laws. From the EU’s General Data Protection Regulation (GDPR) to the Cayman Islands Data Privacy Law, disclosure and contract requirements are increasing as well as the necessity to maintain an adaptive cybersecurity program to respond to such regulatory change.

  • What do the new privacy laws require? Key similarities and distinctions
  • Is my firm in scope? Applicability and exemptions
  • What’s coming in the months ahead?
  • What should we be doing now to prepare?

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
When there is little to no budget for cyber, yet the risks continue to mount, what are small and mid—sized advisers to do? Third party resources can supplement the firm’s own personnel, but it is easy to get lost in the volume of cybersecurity information which exists, and it can be difficult for self-described non-technical staff to know the right questions to ask to properly understand their firm’s risk. This breakout session will address practical considerations for smaller advisers (< $5B AUM or under 25 employees), who often use a third-party IT vendor to help manage their technology infrastructure and are looking to stretch their budgets as much as possible to encompass reasonable testing to meet regulatory expectations.

  • Learning the cyber lingo to better understand what your technology vendor is and isn’t doing for you
  • What to consider when using a cloud provider, and cloud provider risks
  • Practical due diligence steps to take
  • Filtering through the noise to understand the biggest risks, and which are common among your peers
  • Getting the most bang for your buck: highly effective, low cost methods to reduce risk – in the office, at home, and on the road

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
Cybersecurity incidents seem like they only happen to other firms, until they happen to you. Incidents are on the rise, from business email compromise (BEC) attacks and wire fraud to social engineering and ransomware. Developing an incident response plan is only half the battle. Adequate preparation involves kicking the tires and testing your plan through simulations to find the weak points in your response plans – before the hackers do. With the average cybersecurity incident taking almost one full week to investigate, contain, and remediate, it is clear that firms generally are not prepared to comply with the strict breach reporting deadlines under the GDPR and various state regulations. In this interactive workshop, you will learn:

  • Ways to war-game your incident response plan
  • Case studies – likely incidents and critical first steps
  • Digital forensics – what are the key questions to ask to piece together an incident timeline?

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 Best Practices for Large Advisers
While all firms face the same cyber threats, large advisers (> $5B AUM or > 25 employees) have particular considerations that inform risk management and response. Clients and investors of large advisers increasingly expect more robust cybersecurity programs at such organizations, as evidenced by expansive due diligence. This breakout session will explore these issues among your peers and discuss best practices and strategies, including:

  • The delicate interplay between compliance and cyber 
  • Staffing an internal IT team: key man risk and firm culture
  • Managing vendor risk across the organization
  • Implementing security controls across multiple departments 
  • Obtaining management buy-in for strategic cybersecurity initiatives to enhance your ability to detect and respond to incidents and meet regulatory expectations 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

Conference Prize Drawing

11:00-12:00

GENERAL SESSION
Crafting a Regulatory Book of Record (RBOR)

TECHNOLOGY TRACK
Consensus & Accudelta Panel Discussion

12:00-1:00

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

1:00

CLOSE OF CONFERENCE

Featured Speakers

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.

Tracey Chaffin

CFO & Partner

Pamlico Capital

Oren Elimelech

Founder & CEO

CyberTeam 360

Cynthia Larose

Partner, CIPP/US and CIPP/E, Chair Privacy & Cybersecurity Practice

Mintz Levin

Taylor Milligan Crotty

Vice President, Cyber Resilience

BlackRock

Keith Marks

Executive Director

CSS

Andras Teleki

Chief Legal Officer

M3Sixty Administration, LLC

E.J. Yerzak
, CISA, CISM, CRISC

Director of Cyber IT Services

CSS

Jeff Welgan

Executive Director & Head of Executive Training Programs

CyberVista

Tracey Chaffin

CFO & Partner

Pamlico Capital

Cynthia Larose

Partner, CIPP/US and CIPP/E, Chair Privacy & Cybersecurity Practice

Mintz Levin

Keith Marks

Executive Director

CSS

E.J. Yerzak
CISA, CISM, CRISC

Director of Cyber IT Services

CSS

Oren Elimelech

Founder & CEO

CyberTeam 360

Taylor Milligan Crotty

Vice President, Cyber Resilience

BlackRock

Andras Teleki

Chief Legal Officer

M3Sixty Administration, LLC

Jeff Welgan

Executive Director & Head of Executive Training Programs

CyberVista

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.

Register

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