Income and Alts Virtual Summit 2017
DATE TBD
Bringing together thousands of financial advisors in a renowned, cutting-edge environment, the Income and Alts Virtual Summit will address the latest income and liquid alternative trends, opinions and investment ideas. This innovative online forum has been developed as the ideal platform for experts throughout the investment world to share ideas, network with peers, and educate one another on their unique offerings without the burdens of cost and traveling.
AICPA ENGAGE Conference 2018
There’s no time for the ordinary. What you will find at AICPA ENGAGE: four days of thought-provoking questions, candid insights, deep technical dives and even some radical ideas. It’s your time to absorb, reflect, challenge and apply the best of what the CPA profession has to offer.
What is AICPA ENGAGE 2018?
7 Conferences. 250+ Sessions. Up to 35 CPE.
This June over 4,000 people will come together at the nation’s premier conference for accountants and financial planning professionals. Continuing our legacy of top marks in leading content, a committee of thought leaders from the profession plan a robust agenda set to engage your technical knowledge, enhance business strategies, and bring the greatest value to your clients.
Your community.
Even with a robust agenda, your niche community of peers will be within easy reach. The 2018 conference agenda is refined to allow more access between your educational sessions for chance encounters with like-minded peers, color coded topic areas during receptions, and grouped vendors in the exhibit hall.
Your content.
Every member of your firm will be inspired with knowledge they can implement immediately. Curate your personal track by attending any session at ENGAGE during the dates of your registration pass. Workshops are an additional fee, however are included for All Access pass holders. Additionally, explore the exhibit hall of 150+ exhibitors serving the latest technology platforms for the profession.
Attend the conference at MGM Grand Las Vegas or attend online.
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 |
|
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 |
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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 |