Pershing INSITE Conference 2018
INSITE is a premier industry event for success-minded advisors interested in enhancing client relationships and growing their business. INSITE features an impressive lineup of world leaders and industry experts, showcases our latest offerings, provides access to an exhibit hall featuring strategic providers and helps advisors grow their business, increase efficiency and differentiate themselves in today’s marketplace.
Fidelity Inside Track Conference Series 2018
VENUE TBD
Inside Track events provide clients and prospects with actionable insights and networking opportunities to help grow and transform their businesses. The environment encourages and enables the exchange of ideas and best practices.
Fidelity Inside Track Conference Series 2018
VENUE TBD
Inside Track events provide clients and prospects with actionable insights and networking opportunities to help grow and transform their businesses. The environment encourages and enables the exchange of ideas and best practices.
Envestnet Advisor Summit 2018
The Envestnet Advisor Summit has become a “must attend” event within the wealth management industry with over 2,000 investment professionals from around the country expected to participate.
This event will host RIAs, independent broker-dealer firms, and Bank and Trust Companies for a three-day meeting that will feature key industry leaders speaking about today’s investment climate as well as strategies to help advisors grow their businesses.
Discover the concepts that are becoming a reality in reshaping the financial services industry. Hear from thought leaders on how strategy and innovation can help move you to that next level. And, learn how to adapt and leverage the tools that can elevate your value and success as your business grows and evolves. This three-day event will not only help you keep pace with a changing world, but also help you show leadership to your clients.
Advisors are given the opportunity to hear from several members of Envestnet’s management team, gain insight on our latest developments in the Envestnet Pavilion and engage with sponsors in the exhibit hall. Take advantage of the opportunity to network with colleagues, other investment professionals, and Envestnet representatives.
SEC Compliance Outreach Program National Seminar 2018
SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Original Press Release:
https://www.sec.gov/news/press-release/2018-17
FOR IMMEDIATE RELEASE
2018-17
Washington D.C., Feb. 13, 2018 —
The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program’s national seminar for investment companies and investment advisers. The event is intended to help Chief Compliance Officers (CCOs) and other senior personnel at investment companies and investment advisory firms to enhance their compliance programs for the protection of investors.
The SEC’s Office of Compliance Inspections and Examinations (OCIE), Division of Investment Management (IM), and the Asset Management Unit (AMU) of the Division of Enforcement jointly sponsor the compliance outreach program. The national seminar will be held on April 12 at the SEC’s Washington, D.C., headquarters from 8:30 a.m. to 5:30 p.m. ET. In-person attendance is limited to 500; a live webcast will be available at www.sec.gov.
The agenda for the national seminar includes discussion of OCIE, IM, and AMU program priorities in 2018, issues related to fees and expenses, portfolio management trends, regulatory hot topics, cybersecurity, compliance, and rulemaking.
“Regularly hosting this seminar is one of the key ways we work to improve compliance in the industry,” said OCIE Director Peter Driscoll. “The U.S. capital markets are among the most vibrant, fair, and effective in the world in large part because of the important work that compliance professionals do on a daily basis to ensure risks are addressed, securities laws are followed, and investors are protected. This event allows us to share our thoughts and observations with these professionals and to listen to the ideas and concerns they want to share with us.”
“Chief Compliance Officers and their teams play an important role in protecting American investors, a goal that the SEC staff shares. This outreach event is a valuable opportunity to engage and build relationships with these knowledgeable professionals so that we may benefit from their insights as we consider policies affecting investment companies and investment advisers,” said Division of Investment Management Director Dalia Blass.
Investment adviser and investment company senior officers may register online to attend the event in-person. If registrations exceed capacity, investment company and investment adviser CCOs will be given priority on a first-registered basis. Registration instructions also will be sent to SEC-registered advisers using the e-mail account on the adviser’s most recent Form ADV filing. The event will also be made available via live and archived audio webcast. For more information, contact: [email protected] .
Agenda
(Targeted Discussions For Larger Firms)
April 12, 2018
|
7:30 am |
Registration Opens |
|
8:30 am to 8:40 am |
Welcoming Remarks |
|
8:40 am to 9:10 am |
Introductory Remarks from SEC Directors |
|
9:10 am to 10:20 am |
Panel I: Insights from SEC Leadership Regarding Program Priorities*
|
|
10:20 am to 10:45 am |
Question & Answer Session 1 |
|
10:45 am to 11:00 am |
Break (Q & A Session 1 May Continue Through the Break) |
|
11:00 am to 12:00 pm |
Panel II: Fees and Expenses Impacting Retail Investors
|
|
12:00 pm to 1:15 pm |
Lunch Break |
|
1:15 pm to 2:00 pm |
Panel III: Emerging Trends in Portfolio Management
|
|
2:00 pm to 2:30 pm |
Question & Answer Session 2 |
|
2:30 pm to 2:45 pm |
Break (Q & A Session 2 May Continue Through the Break) |
|
2:45 pm to 3:45 pm |
Panel IV: Regulatory Hot Topics
|
|
3:45 pm to 4:30 pm |
Panel V: Cybersecurity
|
|
4:30 pm to 5:25 pm |
Panel VI: Observations on Ways to Improve Compliance
|
|
5:25 pm to 5:30 pm |
Closing Remarks |
Schwab INVESTMENT OUTLOOK Symposiums Series 2018
VENUE TBD
INVESTMENT OUTLOOK is the regional forum where industry leaders present keen insights and informed perspectives on today’s economic, political, and investment climate. This day long event will help set successful strategies for the clients.
ALTSLA Conference 2018
The West Coast's Premier Alternative Investment Conference
Insightful commentary from leading industry experts covering alternative investments including hedge funds, private equity, real estate, natural resources, commodities, managed futures, asset allocation strategies, and global economic conditions.
ALTSLA is an educationally focused alternative investment conference designed to bring the professional investor community together for a full day of dialogue and discussion on the most relevant topics facing investors today.
In its first three years the ALTSLA conference has sold out well in advance and received glowing reviews from attendees. In 2018, the only way is up! New venue, more space, but most importantly more content and opportunities for you to engage with the members of your alternatives community.
Led by the CFA Society LA, CAIA and the CalALTS Association, ALTSLA is the annual meeting place and educational hotspot for those seeking the very latest in alternative investment news and developments. It has become a hub for alternative investment leaders from all over the country and it is has been created with one key purpose: providing YOU with all the essential knowledge that you require to drive your business forward.
ALTSLA is specifically designed to provide relevant, educationally focused content for individuals who manage, advise, allocate to, or oversee alternative investments. This includes:
- Institutional investors
- Financial advisors
- Family offices
- Asset managers
- Investment consultants
- Plan trustees
- Portfolio managers
- Research analysts
Schwab INVESTMENT OUTLOOK Symposium Series 2018
VENUE TBD
INVESTMENT OUTLOOK is the regional forum where industry leaders present keen insights and informed perspectives on today’s economic, political, and investment climate. This day long event will help set successful strategies for the clients.
Schwab INVESTMENT OUTLOOK Symposium Series 2018
VENUE TBD
INVESTMENT OUTLOOK is the regional forum where industry leaders present keen insights and informed perspectives on today’s economic, political, and investment climate. This day long event will help set successful strategies for the clients.
