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, hear directly from attendees and sponsors, or download our PDF, and then:

  • Register for the conference using code CSSConf for $400 savings
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 P. Vartanian, the Founder and Executive Director of the Financial Regulation & Technology Institute of George Mason University Antonin Scalia Law School, and a Professor of Law, will share his insightful view of RegTech and its impact on compliance. Among his many accomplishments, having also served in the Reagan Administration and previously the Office of the Comptroller of the Currency, he chaired the Financial Institution’s practices at Dechert LLP and Fried Frank through four financial crises. Mr. Vartanian has been consistently recognized by clients as “one of the best financial services lawyers in America.”

9:15-9:30

Meet the Compliance Solutions Providers

9:30-10:30

GENERAL SESSION
Practicing a Reinterpreted Fiduciary Level Standard of Care
At the time the SEC issued the rules for Form CRS and Reg BI, the Commission also provided interpretative guidance on the standard of conduct for investment advisers. The guidance addresses the two components of an adviser’s fiduciary duty the duty of care and duty of loyalty. Understanding this guidance and verifying that it is embodied in your compliance program is essential to espousing the SEC’s expectations. The panel will discuss the applicability of fiduciary duty to the whole relationship between an adviser and clients and what an adviser should do to address the SEC’s guidance.

10:30-10:45

Networking Break

10:45-11:30

DISCUSSION GROUP (1 of 4)
Key Standard of Care Touch Points and Conflicts Disclosures: Retail Wealth Advisers
As highlighted by the SEC in their June 2019 rulemaking, Commission Interpretation Regarding Standard of Conduct for Investment Advisers reaffirms the special relationship of trust and confidence an adviser has with its clients. As fiduciaries, investment advisers have an overarching duty to act in the clients’ best interests, as well as the affirmative duties of care and loyalty. Added focus is going to be paid by the regulators to the topic of the Standards of Care. This Discussion Group with provide practical guidance on satisfying your fiduciary duty to clients for Retail Wealth Advisors.

DISCUSSION GROUP (2 of 4)
Key Standard of Care Touch Points and Conflicts Disclosures: Institutional Wealth Managers
As highlighted by the SEC in their June 2019 rulemaking, Commission Interpretation Regarding Standard of Conduct for Investment Advisers reaffirms the special relationship of trust and confidence an adviser has with its clients. As fiduciaries, investment advisers have an overarching duty to act in the clients’ best interests, as well as the affirmative duties of care and loyalty. Added focus is going to be paid by the regulators to the topic of the Standards of Care. This Discussion Group with provide practical guidance on satisfying your fiduciary duty to clients for Institutional Wealth Managers.

DISCUSSION GROUP (3 of 4)
Key Standard of Care Touch Points and Conflicts Disclosures: Private Fund Managers
As highlighted by the SEC in their June 2019 rulemaking, Commission Interpretation Regarding Standard of Conduct for Investment Advisers reaffirms the special relationship of trust and confidence an adviser has with its clients. As fiduciaries, investment advisers have an overarching duty to act in the clients’ best interests, as well as the affirmative duties of care and loyalty. Added focus is going to be paid by the regulators to the topic of the Standards of Care. This Discussion Group with provide practical guidance on satisfying your fiduciary duty to clients for Private Fund Managers.

DISCUSSION GROUP (4 of 4)
Solving Global Threshold Management
Your holdings in equities and derivatives, on the vast majority of markets around the world, are subject to complex disclosure requirements as well as hard limits. To consider:

  • These requirements can be triggered when holding as little as 1% of an issuer’s shares, or less in some cases.
  • They can apply to both your long and short side holdings.
  • The applicable rules vary greatly, according to each and every different market in which you invest.
  • The three relevant regulatory regimes you need to understand as an investor — Substantial Shareholding, Sensitive Industries and Position Limits – will be tackled in this Group Discussion.
  • Once you “solve” for the regulatory challenge (and CSS with aosphere will tell you how you can do that), as an investor you’ll find that the operational and data challenges are just as difficult. We’ll tell you how to address those challenges as well.

11:30-12:30

BREAKOUT SESSION (1 of 4)
Increased Challenges of Working with Seniors
Once again, OCIE included the protection of seniors as a focus of their 2020 Exam Priorities. Not only are the regulators concerned about senior retail clients, they are also looking toward the practices implemented by private fund advisers with respect to this topic. Learn what new questions are being asked during examinations related to senior and vulnerable clients. This session will address best practices implemented by investment advisers with respect to working with the ever-growing aging investor population.

BREAKOUT SESSION (2 of 3)
Providing Effective Compliance Training
Strong compliance foundations are built with effective firmwide compliance training programs. Join this session to explore methods for designing well-defined training that improves your firm’s resiliency to risk through learning from case studies. This panel will explore:

  • Employing techniques that get relevant messages across in a creative manner
  • Designing effective training to be resilient and relevant
  • Reflecting what works, what doesn’t – Case studies
  • How winning programs convey your firm’s ethical standards and fiduciary duty for the protection of client assets.
  • Employing training that facilitates a clear understanding of federal securities laws and your firm’s policies and procedures.

BREAKOUT SESSION (3 of 4)
Private Fund Credit Issues

Leverage is widespread in our private equity markets, as portfolio companies utilize it directly through guarantees and debt service, while private equity funds use leverage through lines of credit guaranteed by the investors’ capital commitments. Hedge funds also utilize leverage to finance and implement portfolio strategies.

This panel will address the use of leverage by funds/portfolio companies and its impact on fund management and compliance programs, including the following topics:

  • Leverage utilization and its impact on returns
  • Risk Monitoring
  • Sources of leverage
  • Impact on Form ADV disclosures? Governing documents?
  • Marketing disclosures

BREAKOUT SESSION (4 of 4)
Position Limits Challenges

12:30-2:00

Lunch

2:00-2:15

Meet the Compliance Solutions Providers

2:15-3:15

GENERAL SESSION
OCIE Priorities & Examination Practices

3:15-4:00

DISCUSSION GROUP (1 of 3)
SEC Examination Preparation & Management Workshops – Retail Wealth Advisors
Building on the exam priorities session, attendees in this interactive discussion group will discuss best practices for preparing for and managing an SEC exam. This discussion group will tackle interviewing techniques, presentation of materials, responding to requests and other key steps of a successful examination for Retail Wealth Advisors.

DISCUSSION GROUP (2 of 3)
SEC Examination Preparation & Management Workshops – Institutional Wealth Managers
Building on the exam priorities session, attendees in this interactive discussion group will discuss best practices for preparing for and managing an SEC exam. This discussion group will tackle interviewing techniques, presentation of materials, responding to requests and other key steps of a successful examination for Institutional Wealth Managers.

DISCUSSION GROUP (3 of 3)
SEC Examination Preparation & Management Workshops – Private Fund Managers
Building on the exam priorities session, attendees in this interactive discussion group will discuss best practices for preparing for and managing an SEC exam. This discussion group will tackle interviewing techniques, presentation of materials, responding to requests and other key steps of a successful examination for Private Fund Managers.

4:00-4:15

Networking Break

4:15-5:00

BREAKOUT SESSION  (1 of 3)
The Difficult Form ADV Reporting Questions
OCIE has now published more than 100 Form ADV Q&As. The Division of Investment Management has published an additional 23 on Part 2 alone. This panel will sort through the important answers, and provide additional tips and answers. Form ADV, Part 1 has grown from its initial electronic filing in 2001 to more than 100 separate questions including data about asset types, and a wide range of regulatory terms. Part 2A has an additional 18 items that need to align with the data. Aligning a Regulatory Book of Record concerning Form ADV starts here.

  • FAQs about key data points
  • Large impact on private fund managers
  • Scaling the record keeping process

BREAKOUT SESSION (2 of 3)
Private Fund Valuation Practices
This panel will tackle current private fund valuation issues and business practices utilized to comply with current SEC rules and guidance, including:

  • Overview of regulatory and business environment concerning valuation practices
  • SEC guidance and enforcement actions
  • Pricing models used for private equity and hedge funds
  • Use of third-party providers
  • Takeaway action items, including best practices for valuation policies, including ongoing oversight/periodic testing (always a key panel topic)

BREAKOUT SESSION (3 of 3)
Monitoring Firm and Employee Trading
Principal and Agency Cross Trading Compliance Issues
Trade Blotter Analysis for All Types of Advisers: Whether you are a CCO of a retail adviser, hedge fund adviser or institutional adviser, analyzing your trade blotter activity is extremely important. Yet the resources and budget to perform these reviews might be dramatically different. This session will break it down for all firm types.

5:00-7:00

Welcome Reception

6:00-7:00

Morning Workout

7:00-8:15

BREAKFAST

7:30-8:15

ROUNDTABLE (1 of 3)
Developing a Robust Compliance Risk Matrix – Retail Wealth Advisors
The request for an Adviser’s risk matrix continues to be a key element of the SEC’s initial document request letter. This session will go beyond just how to develop and documented your risk management process. The session will enable participants to identify other elements of your operational practices which can be mapped to risks.

ROUNDTABLE (2 of 3)
Developing a Robust Compliance Risk Matrix – Institutional Wealth Managers
The request for an Adviser’s risk matrix continues to be a key element of the SEC’s initial document request letter. This session will go beyond just how to develop and documented your risk management process. The session will enable participants to identify other elements of your operational practices which can be mapped to risks.

ROUNDTABLE (3 of 3)
Developing a Robust Compliance Risk Matrix – Private Fund Managers
The request for an Adviser’s risk matrix continues to be a key element of the SEC’s initial document request letter. This session will go beyond just how to develop and documented your risk management process. The session will enable participants to identify other elements of your operational practices which can be mapped to risks.

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?

10:30-10:45

Networking Break

10:45-11:45

BREAKOUT SESSION (1 of 3)
Tips for Navigating 2020 Priorities
Never before has the blueprint for planning around OCIE’s 2020 examination priorities been more significant in terms of adapting programs in light of focus areas. The industry is on notice for very specific concerns around business and sales practices, conflicts and risk which are the centerpiece for exam expectations during 2020. This panel will specifically explore readiness regarding:

  • The right approach for adapting programs and policies to align with focus concerns
  • Target topics and takeaways, including: Duty of Care, conflicts, recommendations and advice given to retail investors, higher risk products, due diligence, Form CRS, regulatory reporting, governance and more.

Join this panel to update your compliance program and testing with a fresh assessment. 2020 compliance program planning requires careful analysis and planning to align with 2020 priorities.

BREAKOUT SESSION (2 of 3)
Proxy Voting Responsibilities of Investment Advisers and Investment Companies
The rise of ESG and impact investing strategies brings new focus on the importance of effective proxy voting policies. In addition, the SEC issued guidance with respect to proxy voting and the use of proxy research firms. In this session, we will discuss best practices for proxy voitng, including diligence of service providers used to complete the process.

BREAKOUT SESSION (3 of 3)
Trading in a Global Marketplace
Growing demands from global regulators for cost transparency

  • Focus on specific asks; PRIIPs, MiFID II, FCA COBS 19.8 / DCPT / ICT-CTI, Dutch Pensions and ASIC RG97
  • Broader program touch points – Best Execution (MiFID II RTS 28)
  • Trend to central trade repositories / how to leverage a strategic approach
  • Challenges with data: Custodians not tracking arrival timestamps, data quality

11:45-12:45

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

  • AIFMD and NPPR (national private placement regimes) & MiFID II
  • The rise of the MANCO and SUPERMANCO
  • Global Trade and Transaction reporting – Europe (SFTR, EMIR, MiFID II) + Asia (MAS, HKMA, ASIC) + Americas (Canada OTC)
  • The horizon for 2020 – Brexit, PRIIPs, UCITS, SFTR and MMFR

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)
Architecting Your Firm’s Compliance Program
This session focuses on creative ways to maintain an effective compliance program when you are faced with a growing business. Whether due to acquisitions, business expansion (new products/services) or new staffing, learn how technology, delegation, and third party service providers can fill the gaps! Knowing how your Firm operates can enable you to build a highly effective compliance program. We’ll also provide helpful tips on how to effectively lobby for additional resources.

12:45-2:30

Civic Responsibilities Activity

2:30-4:30

SUPPLEMENTAL LUNCH & LEARN
Ethics Workshop
Behavioral Ethics and Case Studies: The panel will discuss the the concept of behavioral ethics and how it is different from traditional philosophy. Instead of focusing on how people ought to behave, behavioral ethics studies why people act as they do. Case studies will present real life situations for attendees to collaborate and analyze.

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?

2:30-3:30

CLIENT ADVISORY BOARD (1 of 4)
Manager Client Advisory Board

CLIENT ADVISORY BOARD (2 of 4)
Signal Client Advisory Board

CLIENT ADVISORY BOARD (3 of 4)
Sentry Client Advisory Board

CLIENT ADVISORY BOARD (4 of 4)
Consensus & Accudelta Client Advisory Board

2:30-6:00

FREE TIME
Choice of Ringling Museum, Spa, Beach

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)
Service Provider Due Diligence Guidance
Outsource the activity, but not the responsibility. A panel of seasoned due diligence professionals will discuss how to tackle oversight of third-party service providers and document your due diligence reviews. The presentation will consider how to:

  • Identifying your organization’s service providers and what services they are providing
  • Creating a risk profile for each provider
  • Monitoring and verifying the services your firm has contracted for
  • Onboarding new service providers
  • Assessment and monitoring tools will be provided to all conference attendees.

BREAKFAST WORKSHOP (2 of 4)
Private Funds & the Division of Enforcement
This panel will explore evolving enforcement and examination trends affecting private funds including the SEC’s continued scrutiny of disclosures to investors, fee and expense allocations, conflicts of interest and valuation of fund assets.

BREAKFAST WORKSHOP (3 of 4)
Meeting the Form CRS Deadline & Ongoing Requirements
How many times are you going to read the 524-page Form CRS Rule Release and 17 pages of instructions for Form CRS, plus the associated guidance in the SEC’s June 5, 2029 releases? This panel will walk through what we have learned about creating, filing, delivering, maintaining Form CRS. Join us for a one hour, end-to-end Form CRS experience to help you manage the June 30, 2020 deadline.

  • Understand the purpose of layered disclosure
  • Driving RIA and registered BD distinctions in the marketplace
  • Key tips about discretionary authority and conflicts of interest
  • Unique drivers include Conversation Starters
  • Next steps—Training.

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 4)
Annual Compliance Program Reviews and Reports
Under the Advisers Act Rule 206(4)-7, advisers are required annually to review policies and procedures to determine their adequacy as well as the effectiveness of implementation. Advisers need to not only have established controls in place but also to measure effectiveness and make sure they’re working as intended. This breakout session will guide you through the process of:

  • Who Conducts and How to Conduct the Annual Review
  • Planning and Documenting the Annual Review
  • Testing the Adequacy and Effectiveness of Policies and Procedures
  • Reporting Annual Review Findings
  • Responding to Issues Identified by the Annual Review
  • Common Deficiencies with Annual Reviews

BREAKOUT SESSION (2 of 4)
ESG Mandates (Environmental, Social and Governance Exposure)
Meeting the Challenges of ESG Compliance: Client Demand, SEC Perspectives

BREAKOUT SESSION (3 of 4)
Pay-to-Play Revisited in a Presidential Election Year
As the 2020 elections approach, candidates at all levels will be seeking volunteers and donations. Advisory employees are subject to various pay to play rules. In this session, we will review the rules, common pitfalls and strategies for making sure your oversight program is effective.

BREAKOUT SESSION (4 of 4)
Private Fund Reporting: PF, CPO-PQR, Annex IV and ADV Filing Requirements

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)

12:00-1:00

GENERAL SESSION
Preparing for New Investment Adviser Marketing Rules
The SEC’s revised marketing guidelines [rules] for investment advisers means that each investment adviser has to consider whether changes to its marketing and advertising policies and procedures are required. The process starts with understanding the new requirements, then revising your policies and lastly providing training to those involved with marketing reviews. The panel will:

  • Discuss the revised marketing guidelines, highlighting the differences with existing guidance
  • Identify enhancements that should be made to compliance programs
  • Examine “pitfalls” with the revised guidance
  • Suggest areas of focus for staff training

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.

Adan Araujo

Chief Compliance Officer

Jasper Ridge Partners

Ashish Bayas

Managing Director & Chief Technology Officer

Green Courte Partners

Ronan Brennan

Chief Product Officer

CSS

Michael Caccese

Chairman of the Management Committee & Practice Area Leader - Financial Services

K&L Gates LLP

Matt Calabro

Director of Institutional Wealth Manager Services

CSS

Tracey Chaffin

CFO & Partner

Pamlico Capital

Aaron De Angelis

Chief Compliance Officer

Spring Mountain Capital

Brian DeDonato

Product Manager

CSS

Adam DiPaolo
, CISA, CRISC

Section 13 Reporting Manager, Senior Consultant, Associate General Counsel

CSS

Oren Elimelech

Founder & CEO

CyberTeam 360

Claire Farley

Executive Director

aosphere LLP

Patricia "Trish" Flynn

Senior VP, Chief Risk & Compliance Officer

Intech

Ron Franklin

Partner

Proskauer

Allison Fraser
, CFE

Director of RIC Services

CSS

John Gentile

Director of Private Fund Manager Services, Director of Broker-Dealer Services

CSS

Jackie Hallihan

Executive Director

CSS

Greg Hotaling

Regulatory Compliance Expert

CSS

Korrine Kohm
, CFE

Director of Retail Wealth Manager Services

CSS

Sanjay Lamba

Associate General Counsel

Investment Adviser Association

Cynthia Larose

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

Mintz Levin

Keith Marks

Executive Director

CSS

Stephanie Monaco

Partner

Mayer Brown

Doug Morgan

Chief Executive Officer

CSS

Karen Shapiro

Chief Compliance Officer

ZAIS Group LLC

Michael Suppappola

Partner

Proskauer

Kimberly Tabb

Vice President, Administration & Chief of Staff

Prudential Financial

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

Adan Araujo

Chief Compliance Officer

Jasper Ridge Partners

Ronan Brennan

Chief Product Officer

CSS

Matt Calabro

Director of Institutional Wealth Manager Services

CSS

Aaron De Angelis

Chief Compliance Officer

Spring Mountain Capital

Adam DiPaolo
CISA, CRISC

Section 13 Reporting Manager, Senior Consultant, Associate General Counsel

CSS

Claire Farley

Executive Director

aosphere LLP

Ron Franklin

Partner

Proskauer

John Gentile

Director of Private Fund Manager Services, Director of Broker-Dealer Services

CSS

Greg Hotaling

Regulatory Compliance Expert

CSS

Sanjay Lamba

Associate General Counsel

Investment Adviser Association

Keith Marks

Executive Director

CSS

Doug Morgan

Chief Executive Officer

CSS

Michael Suppappola

Partner

Proskauer

Andras Teleki

Chief Legal Officer

M3Sixty Administration, LLC

Jeff Welgan

Executive Director & Head of Executive Training Programs

CyberVista

Ashish Bayas

Managing Director & Chief Technology Officer

Green Courte Partners

Michael Caccese

Chairman of the Management Committee & Practice Area Leader - Financial Services

K&L Gates LLP

Tracey Chaffin

CFO & Partner

Pamlico Capital

Brian DeDonato

Product Manager

CSS

Oren Elimelech

Founder & CEO

CyberTeam 360

Patricia "Trish" Flynn

Senior VP, Chief Risk & Compliance Officer

Intech

Allison Fraser
CFE

Director of RIC Services

CSS

Jackie Hallihan

Executive Director

CSS

Korrine Kohm
CFE

Director of Retail Wealth Manager Services

CSS

Cynthia Larose

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

Mintz Levin

Stephanie Monaco

Partner

Mayer Brown

Karen Shapiro

Chief Compliance Officer

ZAIS Group LLC

Kimberly Tabb

Vice President, Administration & Chief of Staff

Prudential Financial

E.J. Yerzak
CISA, CISM, CRISC

Director of Cyber IT Services

CSS

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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