Scottsdale, Arizona September 2019 Conference

- Hyatt Regency Scottsdale Resort & Spa Scottsdale, Arizona

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 Hyatt Regency Scottsdale Resort & Spa in Arizona from Sept. 23-25, 2019 to hear from current and former SEC and FINRA officials, top lawyers and leading CCOs. Focusing on industry trends, recent changes, and day-to-day issues, our speakers offer guidance and tangible solutions that participants can take away for immediate implementation.

For Continuing Education information, click here.

This fall, due to popular demand, we have changed the agenda schedule to allow for civic activities, offering a chance to work together with fellow attendees while creating bonds and helping the community. We will again offer 1-on-1 Office Hours with a compliance expert to answer your most pressing questions. Please check back for updates as we continue to finalize our agenda.

7:30-8:30

Breakfast and Conference Registration

8:30-8:45

Conference Kickoff & Introduction

8:45-9:45

OPENING KEYNOTE
SEC Examination Round-Up
Content Track: Compliance Program

9:45-10:45

GENERAL SESSION
Mary Gentile, PhD: “Giving Voice to Values…”
Content Track: Ethics

10:45-11:00

Networking Break

11:00-12:00

BREAKOUT (1 of 2)
Strategy When the Exam Goes Bad
Content Track: Compliance Program

BREAKOUT (2 of 2)
Securing Your Investments: Operational Challenges and Approaches to Cyber
Content Track: Private Funds & Cyber
The cybersecurity risk of companies in which you’ve invested and third parties with which you’ve partnered are just as important as the cybersecurity risk of your own organization. For private equity firms, understanding the cybersecurity risk of a portfolio company investment is critical at the initial deal stage and throughout the life cycle of that investment, as cybersecurity incidents can significant impact the company’s and fund’s valuations. Evaluating and assessing third party operational risk is therefore a component of a well-designed cybersecurity program for a financial services firm. This session will discuss strategies and approaches to assessing and monitoring cyber risk at an organization, fund, and investment level, will highlight some of the challenges and risks you are likely to encounter, and will describe how a better awareness of your investment and counterparty risk through a rigorous due diligence process can have a meaningful impact on your firm’s success.

12:00-1:00

BREAKOUT (1 of 3)
The Aging Population & Its Impact on the Investment Management Industry
Content Track: Retail
Investment Advisers are at the front lines of protecting senior investors from financial exploitation. Yet often times Advisers are not aware of the necessary steps to take to ensure that protection. Senior investor fraud and abuse is an ever-growing problem in the advisory industry. This session will explore the various state and federal regulations in place and resources available from government agencies. It will also feature guidance on best practices and preventative measures that can be taken before a senior client becomes a victim.

BREAKOUT (2 of 3)
Private Funds – Tips From the Field to Enhance Your Compliance and Supervisory Programs
Content Track: Private Funds
So, we know the rules, but now, how do we apply them to our business model? This panel will explore some hands-on perspectives to address compliance and supervisory program issues, ranging from lessons learned from SEC examinations and enforcement experiences, marketing material traps, investor relations tips, supervisory oversight guidance and more.

BREAKOUT (3 of 3)
Regulatory Filings and Big Data
Content Track: Regulatory Reporting
The regulators are requesting that more detailed information be provided about registrants and their products in regulatory filings. Often the requested information isn’t data that a compliance group maintains. This session will identify data requests pertaining to AIFMD Annex IV, CPO-PQR, Form ADV, Form N-CEN, Form N-PORT, Form PF, Solvency II, and TIC Forms. The panel will also provide practical tips for partnering with departments within your organization to obtain the information and discuss techniques for verifying the accuracy of the information.

1:00-2:30

Lunch

2:30-2:40

Meet the Compliance Solutions Providers

2:40-3:45

GENERAL SESSION
Update on SEC Rulemaking

Content Track: Hot Topics
At the close of 2018, Chair Clayton’s regulatory agenda speech included a proclamation for the SEC to be realistic about short-term agendas for rule-making, stating that “the rulemaking expected to be completed in the coming year—had become too aspirational.” He set forth a 80% plus completion rate of the SEC’s 2018 RegFlex Agenda, and the expected rule-making efforts for 2019. Chair Clayton also emphasized administration efforts to focus on moving forward initiatives to benefit the main street investor, and capital formation. This panel will provide a review of the 2019 RegFlex Agenda plus predictions for 2020.

  • The June 5 adoption of the SEC acted to adopt Regulation Best Interest and Form CRS, plus two interpretive releases.
  • What Everyone Should Know About Proxy Plumbing
  • Marketing and Advertising Rule Changes
  • Modernization of Investment Company Disclosure
  • Additional Capital Formation Initiatives

3:45-4:00

Networking Break

4:00-5:00

BREAKOUT (1 of 3)
Workshop: Quantifying & Visualizing Cyber Risk: From Bits & Bytes to Dollars & Sense
Content Track: Cybersecurity
This presentation uses a scaffolding approach to ensure the participants first fully understand cyber risk from the organizational perspective, then grasp a cyber risk quantification model (FAIR) that analyzes cyber risk into financial loss events. Join Jeff Welgan, Head of Executive Training Programs at CyberVista, to see how organizations can move away from subjective qualitative risk scoring (high-medium-low and red-yellow-green) and toward aggregate loss expectancy represented by a financial dollar amount ranges (“our cyber risk expectancy is $15M to $21M in loss”). To help visualize cyber risk, Jeff will also highlight best practice for creating and implementing an effective executive-focused cyber risk dashboard. Dashboards allow business leaders to implement a more effective cybersecurity strategy and program by prioritizing efforts and showing clear justification for budgets and investment. Jeff will review the top 3 factors why companies are getting it all wrong and showcase a best in class executive dashboard with a discussion about the 6 most important elements, including showing cyber risk in expected financial losses.

BREAKOUT (2 of 3)
Demystifying the CFTC and NFA
Content Track: Compliance Program
Whether your firm operates as a commodity pool operator or pursuant to a CFTC exemption, it is important to understand what the CFTC and NFA requirements are that trigger registration or membership. It is also necessary to know what compliance oversight is required and what filings need to be made. This panel will review CFTC/NFA rules and what controls should be included in a compliance program.

BREAKOUT (3 of 3)
RegTech Revolution
Content Track: Hot Topics
Regtech and Fintech are making headlines, as financial firms strive to become more efficient in their processes and regulatory filings and more data-driven in their decisions. But regtech can take many forms, and the automation and use of third party vendors should be informed by business needs as well as regulatory considerations. This session will discuss the various components of an advisory business where regtech can play a role, regulatory concerns surrounding vendor due diligence and information security of cloud providers, and discuss blockchain and other developments on the horizon in the regtech space, and what these developments mean for your firm.

5:00-7:00

Welcome Reception

6:00-7:00

Sunrise Hike

7:30-9:00

Breakfast

8:45-9:00

Morning Welcome & Meet the Compliance Solution Providers

9:00-10:15

KEYNOTE
Merril Hoge – “Find a Way…”

10:15-10:30

Networking Break

10:30-11:30

BREAKOUT (1 of 3)
Developing a Tailored Private Fund Compliance Calendar
Content Track: Private Funds
As regulatory concerns proliferate and become more complex, developing and monitoring your “to do” list is becoming more important than ever. Gain some insights into how others identify, complete and track progress through out the year.

BREAKOUT (2 of 3)
New Form CRS (or ADV Part 3)
Content Track: Regulatory Reporting, Hot Topics
This session will have all of the ins and outs of Form CRS success. Adopted June 5 new Form CRS, a/k/a Form ADV Part 3, must be filed by June 30, 2020 and not before May 1, 2020. It must then be delivered to retail customers of investment advisers and broker-dealers, and of their associated persons, within 30 days of filing.

BREAKOUT (3 of 3)
The Importance of Getting Your Data Right in an Evolving Regulatory Landscape
Content Track: Regulatory Data Management

  • How to identify and prioritize the data sets to focus on
  • The impact of not doing this correctly
  • Real-world examples and case-studies
  • Future-proofing your data strategy

11:30-12:30

GENERAL SESSION
Can We Say That Now?
Content Track: Compliance Program
Knowing and understanding the marketing and advertising guidance that the SEC has issued is paramount to creating and reviewing marketing materials. The SEC already has on its agenda to consider amendments to rules 206(4)-1 and 206(4)-3 regarding marketing communications and the practices of investment advisers. This session will discuss marketing “dos and don’ts” for all types of investment products for retail, institutional and private fund firms. The panel will also review practical ways to review marketing materials and maintain the required books and records.

12:30-6:00

Civic Responsibility and Activities
CIVIC ACTIVITIES
Participate in your choice of our sponsored golf tournament, a spa treatment or volunteering within the community, helping to make a difference while having fun.

7:00-10:00

Dinner

6:00-7:00

Sunrise Yoga

7:30-8:30

BREAKFAST

8:30-9:30

BREAKOUT (1 of 3)
Key Takeaways from SEC Enforcement and Private Litigation Actions
Content Track: Private Funds

BREAKOUT (2 of 3)
Serving as a Sub-Adviser
Content Track: Compliance Program
Serving as a sub-adviser to mutual, open-end or closed-end funds comes with many compliance responsibilities. The panel will explore:

  • Being prepared for initial and ongoing due diligence reviews
  • The types of reporting a sub-adviser may need to provide to a fund’s board or adviser
  • Managing multiple sub-adviser relationships
  • How sub-advisory relationships with registered investment companies impact a firm’s policies

BREAKOUT (3 of 3)
Regulatory Horizon for Firms with Exposure Beyond the US Border – What’s in Store for 2020? (Part 1 of a two-part session)
Content Track: Regulatory Reporting
Reviewing trends in global trade and transaction reporting, cost transparency challenges and European mancos – covering UCITS, AIFMD, SFTR, SMCR, MMFR, MiFID II, PRIIPs, and more.

9:30-10:30

BREAKOUT (1 of 3)
Regulatory Horizon for Firms with Exposure Beyond the U.S. Border – What’s in Store for 2020?
(Part 2 of a two-part session)
Content Track: Regulatory Reporting
Threshold monitoring and position limits.

BREAKOUT (2 of 3)
What a Trade Blotter Can Tell You
Content Track: Trade Monitoring & Analysis
Knowing how to review and analyze the information contain is a trade blotter is an effective compliance tool to evaluate conflicts of interest, allocation of investment opportunities, insider trading, brokerage execution costs and investment guidelines, among other things. Our panel of experts will discuss how to analyze a trade blotter to assess the effectiveness of a firm’s compliance controls. They will also review how trade blotter analytics can be used to identify anomalies, breaches and exceptions.

BREAKOUT (3 of 3)
Compliance Housekeeping
Content Track: Retail Wealth
Remember the “Broken WIndows” approach to compliance implemented by the SEC some years ago? Advisers were put on notice that small infractions would not be tolerated. Though the SEC does not cite this approach in speeches, they are still examining whether there is proper compliance housekeeping taking place. Both SEC and state examinations are focusing on the basics of your compliance program and evaluating whether the CCO is managing the small things. When they find minor deficiencies, examiners are going deeper. Join our experts to discuss topics such as state notice filing requirements, IARs registrations, the pitfalls of failing to monitor the activities of Advisers and what the penalties can be.

10:30-10:45

Networking Break

10:45-11:00

Meet the Compliance Solutions Providers & Raffle

11:00-12:00

GENERAL SESSION
Being a Compliance Influencer
Content Track: Career Development
Serving as a CCO or member of your firm’s compliance department carries a tremendous amount of responsibility. We often discuss the “tone at the top” and messaging from senior management. But have you considered what you and your compliance team can do to create an awareness that compliance is everyone’s responsibilty? This session will explore effective techniques for developing a heighten awareness of compliance in your organization and ways in which you can encourage employees to engage with Compliance.

12:00-1:00

GENERAL SESSION
Regulatory Update on Privacy Regulations & Cybersecurity

Content Track: Cybersecurity
Cybersecurity is still a hot topic for federal and state regulators, and the past year has seen a lot of action in this area. Unfortunately, many firms cyber policies have not kept up with the changes. The SEC has issued cyber Risk Alerts on Electronic Messaging, Regulation S-P, and Cloud Providers, signaling that many investment advisers and broker-dealers need to enhance their cybersecurity programs with comprehensive and detailed information security policies to more specifically describe controls in place to safeguard data from loss, alternation, or destruction. This follows New York’s DFS cybersecurity regulations and more state changes including the adoption of a model by NASAA. Also, the California Consumer Privacy Act is poised to take effect January 1, 2020, bringing GDPR-like requirements to U.S. firms, although subject to certain exceptions and exemptions.  This expert panel will dive into the latest regulatory alerts, offering practical insights on how to translate risk alert guidance into your policies and procedures.

1:00

CLOSE OF MAIN CONFERENCE

1:30-3:30

WORKSHOP
Tech Ethics: Information, AI and Its Impact on Ethics
Content Track: Ethics
Technology is dramatically changing the world and the investment advisory business. After learning about the newest technologies during our conference, stay and learn how those technologies and artificial intelligence are impacting human values and ethics. Get ahead of these disruptive technologies to position yourself and your firm on the proper moral course. Case studies will be used to explore the ethical principals within technology.

SIGNAL ROUNDTABLE

Tracy Abbott

Chief Compliance Officer

Seavest Investment Group

Jeff Blumberg

Partner

Faegre Baker Daniels

Susan Boudrot

Managing Director, Chief Compliance Officer

TD Ameritrade Holding Corporation

Brandon Byrd

Chief Operating Officer

M3Sixty Administration, LLC

Ronan Brennan

Chief Product Officer

CSS

Matt Calabro

Director of Institutional Wealth Manager Services

CSS

Eva Carman

Partner

Ropes & Gray

Brian DeDonato

Product Manager

CSS

Adam DiPaolo
, CISA, CRISC

Section 13 Reporting Manager, Senior Consultant, Associate General Counsel

CSS

Michael Emanuel

Partner

Stroock & Stroock & Lavan LLP

Gidget Furness

Chief Compliance Officer

Moss Adams Wealth Management Group

Marshall Gandy

Co-National Associate Director of the Investment Adviser/Investment Company Examination Program, OCIE

U.S. Securities & Exchange Commission

John Gentile

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

CSS

Kevin Gleason

Senior Vice President & Chief Compliance Officer

Voya Investment Management

Allison Fraser
, CFE

Director of RIC Services

CSS

Jackie Hallihan

Executive Director

CSS

Mark Happe

Chief Compliance Officer

AIG Life & Retirement - Group Retirement

Dan Haynes

Senior Consultant

CSS

Merril Hoge

Former NFL star, Speaker

Find a Way: Three Words That Changed My Life

Greg Hotaling

Regulatory Compliance Expert

CSS

Matt Ibbetson

Principal

Ridgemont Equity Partners, LLC

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

Steve Lentz

General Counsel & Chief Compliance Officer

Okabena Investment Services

Ronald Long

Head of Elder Client Initiatives Center of Excellence

Wells Fargo Advisors

Keith Marks

Executive Director

CSS

Michael Marmo

Product Manager

CSS

Melanie Mendoza

Chief Compliance Officer

Matarin Capital Management

Taylor Milligan Crotty

Vice President, Cyber Resilience

BlackRock

Stephanie Monaco

Partner

Mayer Brown

David Porteous

Partner

Faegre Baker Daniels

George Pullen

Senior Economist

U.S. Commodity Futures Trading Commission

Andras Teleki

Chief Legal Officer

M3Sixty Administration, LLC

Jeanette Turner

Chief Regulatory Officer

CSS

John Walsh

Partner

Eversheds Sutherland

Eugenie Warner

Senior Consultant, Content Expert, Associate General Counsel

CSS

Jeff Welgan

Executive Director & Head of Executive Training Programs

CyberVista

Samson Williams

Partner

Axes & Eggs

E.J. Yerzak
, CISA, CISM, CRISC

Director of Cyber IT Services

CSS

Dianna Zentner

Senior Consultant

CSS

Tracy Abbott

Chief Compliance Officer

Seavest Investment Group

Brandon Byrd

Chief Operating Officer

M3Sixty Administration, LLC

Matt Calabro

Director of Institutional Wealth Manager Services

CSS

Brian DeDonato

Product Manager

CSS

Michael Emanuel

Partner

Stroock & Stroock & Lavan LLP

Marshall Gandy

Co-National Associate Director of the Investment Adviser/Investment Company Examination Program, OCIE

U.S. Securities & Exchange Commission

Allison Fraser
CFE

Director of RIC Services

CSS

Mark Happe

Chief Compliance Officer

AIG Life & Retirement - Group Retirement

Merril Hoge

Former NFL star, Speaker

Find a Way: Three Words That Changed My Life

Matt Ibbetson

Principal

Ridgemont Equity Partners, LLC

Sanjay Lamba

Associate General Counsel

Investment Adviser Association

Steve Lentz

General Counsel & Chief Compliance Officer

Okabena Investment Services

Keith Marks

Executive Director

CSS

Melanie Mendoza

Chief Compliance Officer

Matarin Capital Management

Stephanie Monaco

Partner

Mayer Brown

George Pullen

Senior Economist

U.S. Commodity Futures Trading Commission

Jeanette Turner

Chief Regulatory Officer

CSS

Eugenie Warner

Senior Consultant, Content Expert, Associate General Counsel

CSS

Samson Williams

Partner

Axes & Eggs

Dianna Zentner

Senior Consultant

CSS

Jeff Blumberg

Partner

Faegre Baker Daniels

Susan Boudrot

Managing Director, Chief Compliance Officer

TD Ameritrade Holding Corporation

Ronan Brennan

Chief Product Officer

CSS

Eva Carman

Partner

Ropes & Gray

Adam DiPaolo
CISA, CRISC

Section 13 Reporting Manager, Senior Consultant, Associate General Counsel

CSS

Gidget Furness

Chief Compliance Officer

Moss Adams Wealth Management Group

John Gentile

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

CSS

Kevin Gleason

Senior Vice President & Chief Compliance Officer

Voya Investment Management

Jackie Hallihan

Executive Director

CSS

Dan Haynes

Senior Consultant

CSS

Greg Hotaling

Regulatory Compliance Expert

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

Ronald Long

Head of Elder Client Initiatives Center of Excellence

Wells Fargo Advisors

Michael Marmo

Product Manager

CSS

Taylor Milligan Crotty

Vice President, Cyber Resilience

BlackRock

David Porteous

Partner

Faegre Baker Daniels

Andras Teleki

Chief Legal Officer

M3Sixty Administration, LLC

John Walsh

Partner

Eversheds Sutherland

Jeff Welgan

Executive Director & Head of Executive Training Programs

CyberVista

E.J. Yerzak
CISA, CISM, CRISC

Director of Cyber IT Services

CSS

Hyatt Regency Scottsdale Resort and Spa at Gainey Ranch

7500 E. Doubletree Ranch Road, Scottsdale, Arizona, USA 85258
Tel: +1 480 444 1234 Fax: +1 480 483 5550
Email: resscott@hyatt.com
Web: http://scottsdale.hyatt.com/en/hotel/home.html

This extraordinary Four-Diamond resort combines the beauty of the desert southwest along with spectacular guest room and recreational options. The Hyatt at Gainey Ranch features a stunning open-air lobby with floor to ceiling views of mountains, lakes and golf, creating a memorable arrival and relaxation area for guests. Vibrant dining and entertainment options include the Lobby Bar, with live music nightly, indoor/ outdoor seating areas, fireplaces and gondola rides throughout the resort waterways, and all-new Canyon Marketplace. Spa Avania features 18 treatment rooms, an outdoor heated mineral pool, state-of-the-art exercise facility, steam and sauna, and a full service salon. For golfers, the Gainey Ranch Golf Club is an exclusive, private golf club available only to guests of the resort and private members, offering a 27 hole championship golf course, which is rated one of the top courses in the country, and situated right next to the hotel. The resort also offers for relaxation and exercise a 2 ½ acre water oasis with 10 interconnecting pools and sandy beach, jogging paths and bicycling trails with available onsite bicycles and four lighted tennis courts. A complimentary shuttle is offered to Camelback Mountain for hiking, and to Old Town, Fashion Square, Borgata & Kierland Commons for shopping.

Hotel Reservations

CSS has reserved a block of hotel rooms at the Hyatt Regency Scottsdale Resort & Spa for the nights of Sunday, Sept. 22 – Thursday, Sept. 26, 2019.

The Hyatt has created a dedicated web link for conference room reservations. To book a room, please click here.

The room rate of $269.00 per night is offered three days before and three days after the conference, based upon availability.

Check In: 4 pm | Check out: Noon

Group Rate Cutoff: Wednesday, August 21, 2019

Recommended Airport

Phoenix Sky Harbor (PHX) is located less than 20 miles from the hotel and usually takes between 25-40 minutes of travel time. Uber, Lyft, SuperShuttle and taxis all service PHX and offer affordable options to the hotel.

Gainey Suites – Map

Local Attractions

  • Shopping / Scottsdale Waterfront / Old Town Scottsdale
  • Art galleries / Scottsdale Museum of Contemporary Art / Heard Museum of Native Cultures and Art
  • Tomcar Tours / Canyoneering / Horseback Riding
  • Sedona and Grand Canyon Adventures
  • Hot air balloon flights
  • Guide to Resort Services, Events & Activities 

Our premier conference gives your company exclusive access to CCOs, operations managers, and senior management from some of the world’s largest firms, with assets under management in excess of $1 trillion.

By partnering with us, your company will have high visibility and direct access to these attendees, who offer huge business potential.

Conference Sponsors & Exhibitors

Interested in sponsoring or exhibiting? Contact our Client Services team at 860-435-2255.

Register

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