TD Ameritrade Elite Advisor Summit – Elite LINC 2018
TBD
TD Ameritrade's Elite Advisor Summit. Formal invitation required.
Open to a select group of advisors who are best-in-class, gathering with peers to learn, inspire, network and collaborate.
IAA Leadership Conference 2018
TBD
The IAA’s Leadership Conference brings together executives from a variety of investment advisory firms and provides a special occasion to understand industry trends, exchange ideas, and develop valued relationships with IAA members and other SEC-registered investment advisers. Conference topics include economics, politics, and business strategy. Facilitated breakout sessions enable participants to discuss the challenges and opportunities they have in common with other advisers.
IMCA Private Wealth Forum 2018
The IMCA Private Wealth Forum explores issues across a wide variety of subjects that influence wealth management – the economic forecast, elder abuse, public policy, portfolio management, and more. Participants learn how to transform knowledge into value for themselves, their clients and the industry.
Schwab IMPACT Conference 2018
VENUE TBD
IMPACT is an invitation-only industry conference where advisors come together with influential presenters, exhibitors, and subject-matter experts to learn about and collaborate on key issues and best practices. Every facet of the conference is designed to help attendees remain at the forefront of the industry.
Context Summit West 2018
Context Summits’ west coast event will be held again at the Monarch Beach Resort for a broad spectrum of high-quality managers and allocators. The conference will bring together qualified investors and hedge funds for two days of highly targeted and productive, prescheduled one-on-one meetings. Unparalleled networking events for all conference participants will be scheduled at conveniently located sites on or near the resort grounds.
FSI Forum 2018
Open to all FSI members and select sponsors. **This event is exclusively for FSI members and is closed to the media.
Schwab EXPLORE Conference 2018
VENUE TBD
EXPLORE is an exclusive, high-profile forum for a select group of Schwab Advisor Services’ most valued clients.
Approximately 150 advisors are expected to attend. The small size of the forum creates an environment for attendees to think strategically and share best practices with like-minded colleagues, hear from high caliber speakers and network with Schwab senior management and peers, both socially and in a business sense.
ADISA Annual Conference and Trade Show 2018
Where Business Deals Are Made.
Designed for all industry professionals who sponsor, analyze, market, distribute or sell alternative investments.
Several educational sessions will be available, many of which qualify for Continuing Education credit.
Attendees will also have the opportunity to meet face-to-face with nearly 1,000 leading industry professionals and visit with nearly 80 event exhibitors.
Fi360 Conference 2018
Founded in 2004, the Fi360 Conference was originally designed to deliver designees with the practical, fiduciary-based content they desired to advance their practice. In just a few short years, the agenda grew to boast over 35 unique, educational sessions taught by some of the most sought-after industry leaders. As a result, financial service professionals from all over the world asked to participate in the event.
Today, the Fi360 Conference hosts over 750 investment professionals who are looking to grow their fiduciary knowledge base by participating in insightful learning sessions, innovative workshops and thought-provoking discussions.
The conference is a great opportunity to earn CE credit that can be applied to many different industry credentials including the AIF, AIFA, PPC, CFP, CIMA, CFA and more. Attendees will be able to complete their yearly CE requirements for their Fi360 designations and earn over 10 hours of CE for other industry credentials at this one event!
With such a robust agenda and diverse set of attendees coming together in America's Finest City, this is an event you won't want to miss!
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 |