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
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7:30 am |
Registration Opens |
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8:30 am to 8:40 am |
Welcoming Remarks |
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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 |
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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 |
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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
|
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4:30 pm to 5:25 pm |
Panel VI: Observations on Ways to Improve Compliance
|
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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.
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.
Barron's Top Independent Advisors Summit 2018
Barron's is proud to offer this intimate and invitation-only event, where the nation's top independent financial advisors gather for an exclusive chance to share ideas, grow professionally, and network amongst their peers.
The Barron's Top Independent Advisors Summit provides highly detailed and thought-provoking perspectives from top advisors on managing investments, clients and practices. Much of the content is delivered by members of Barron's Top Independent Advisors, making this conference an extraordinary opportunity to share thoughts with peers and hear what is on the minds of leading practitioners in the industry as they move forward in the ever-changing market.
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.
Barron's Top Advisory Teams Summit 2018
To keep growing at
the top, your team members must perform at their best.
There’s no better opportunity than our invitation-only Barron’s conference to equip you and your team with the skills and ideas needed in an ever-changing industry. Join other elite-tier advisory teams at a conference uniquely designed for the many roles involved in wealth management.
Why your team should attend.
Because the financial industry is complex, our conference helps your team navigate a range of crucial topics, from understanding interpersonal dynamics, to fresh insights on financial management, to innovative ideas that are transforming their field of expertise. Our sessions are specially curated to help you and your team members.
T3 Advisor Conference 2018
The leading practice management and technology conference for independent and hybrid financial advisors. Produced by Joel Bruckenstein and friends on an annual basis, advisors will emerge with timely information and insights on how to build a more efficient and profitable business.
TD Ameritrade Conference – National LINC 2018
Join us for an immersive, 3-day experience designed specifically for top professionals in the advisor community. It’s your opportunity to learn, share and collaborate with some of the best minds in our industry—and a smart personal investment to help your business and your clients thrive.