Conference

The Quest for Compliance: Prevention, Detection and Mitigation of Risk

- Loews Portofino Bay Hotel in Orlando, Florida

Welcome to Orlando as you continue your ongoing quest for compliance. Our conference was diligently planned with the goal of providing you a guide for compliance success, with an emphasis on key SEC initiatives including current exam priorities.

You can design your own conference experience, focusing on the topics most relevant to you, including subjects such as:

  • SEC Transparency: Current Staff Recommendations and Examination Priorities: Risks and Priorities Identified-What’s Next
  • Intersection of NIST and SEC: Stepping Up Scrutiny – Improvements You Can Make to Your Cybersecurity Governance Program
  • A Fresh Look at The Compliance Programs Rule and SEC Oversight
  • Hurdling the SEC Examination
  • Forensic Testing: What you Need to know about the SEC’s “NEAT” program, Portfolio Management & Trading

The conference panels and keynote speakers bring focus to key requirements and risk markers, including annual compliance program reviews, due diligence management, data analysis, cybersecurity, custody, AML and more.

Narrow your focus further through discussion groups tailored to your specific needs. Whether you’re a large adviser, small adviser, or private fund adviser; whether you have regulatory reporting complications; or whether you have questions over insider trading controls, you’ll find a group that can bring clarity to your concerns.

So look, explore, investigate. Design your own quest for compliance, one that will lead you towards best practices while preparing you for any SEC scrutiny that may come your way.

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Training takes place on April 3rd

8:00-8:45

Pre-Conference Registration

8:45-8:55

Welcoming Remarks Keith Marks

9:00-9:45

Keynote Address Jim Jones, Professor, George Mason University
The Hacker’s Playbook: How Knowing Their Techniques Can Help You Protect Your Data, Your Clients and Your Reputation.

9:50-10:40

Shining a Light on Shadow IT; Employees Using Software You Don’t Know About
As part of assessing your firm’s cybersecurity risks, have you looked at the risks posed by your own employees on your network? “Shadow IT” is the software on your network that you don’t know about, operating in the shadows, installed without your knowledge. And there are many cybersecurity risks lurking in those shadows.

In this interactive session:

  • Hear how lax administrative access controls allow employees to introduce risk (even if they don’t know it)
  • Understand some of the specific security risks posed by some of the leading software – from Dropbox to Evernote to Salesforce and others
  • Learn tips and techniques to effectively monitor and mitigate the risks of Shadow IT, and how to get employees on board to understand the cybersecurity risks

10:40-10:55

Networking Break

10:55-11:40

Detecting Threats: What Should We Be Looking For?

  • Event monitoring
  • What should we be logging?
  • What can we really tell from logs?
  • Information sharing and learning about threats before they hit your firm

11:45-12:45

Cybersecurity Readiness and Incident Response
A cybersecurity incident at your firm is a matter of “when”, not “if”. When it does occur, will you be prepared to respond adequately? Learn how to address different breach events through this interactive workshop, where you’ll work through various incident scenarios with one of the nation’s leading data breach attorneys and author of the treatise Thomas on Data Breach.

12:45-1:45

Lunch

1:45-2:30

Fool Me Once: Avoiding the Social Engineering Trap
Many firms have robust cybersecurity systems and controls, but fail to recognize the weakest link – people.

  • Hear techniques and successful social engineering tactics so you can avoid falling victim to the same issues
  • The importance of continuous cybersecurity training

2:35-3:20

Special Presentation: The Regulators View of Cybersecurity:
When it comes to heeding the regulatory call to address cybersecurity risk, how prepared are regulators finding financial firms given the different sizes, business models, staff, and resources each firm has? What do firms appear to be doing well in handling cybersecurity, and what are the areas with which firms are struggling?

  • Navigating the regulatory requests for cybersecurity information
  • How much security is “good enough”? Issues and best practices observed in the field
  • Regulatory expectations for cybersecurity risk management for small, mid-sized, and larger firms
  • A continued focus on cybersecurity?

3:20-3:35

Networking Break

3:35-4:20

Using the NIST Cybersecurity Framework to Prioritize Your Cybersecurity Risks and Controls
Malware. Viruses. Hacking incidents. Internal threats. With so many cybersecurity risks out there, it can be difficult to prioritize where to focus limited resources. Hear how the NIST Cybersecurity Framework has evolved to be the de facto industry standard documenting cybersecurity risk management practices and how the SEC is involved.

Cyberinsurance and Your Incident Response Plan

  • Understanding cyberinsurance terms
  • The key components of a cyber policy – what to look for
  • Evaluating cyberinsurance providers
  • Filing a claim

End of training.

8:00-8:45

Pre-Conference Registration

8:45-10:45

Pre-Conference Workshops ($295) (Concurrent)

A Practical Guide on How to Be a CCO: 12 Essentials

  • Be competent and knowledgeable regarding the Advisers Act, empowered with full responsibility and authority to develop, administer and enforce appropriate policies and procedures and design an effective program designed to prevent violations
  • Have sufficient seniority and authority to compel others to adhere to the procedures.
  • Manage and build relationships
  • Develop, build and utilize resources
  • Administer a compliance environment that addresses and supports regulatory and firm goals
  • Identify, mitigate, and manage compliance risks
  • Support open communication between service providers and those with compliance oversight responsibilities
  • Is proactive rather than reactive
  • Ensures sufficient resources
  • Compliance is an important part of the firm’s culture
  • CCO is a trusted adviser: know your firm, business, constituents
  • Integration with business units, technology and others
And MORE…

Marketing & Advertising: The Nuts and Bolts

  • Understanding the framework… from there to no action letters
  • What you don’t know can hurt you
  • What are the issues in marketing material? What are current SEC considerations and actions?
  • Examples of deficient disclosures
  • Learn to effectively identify deficiencies
  • Surveillance of social media
  • The Nuts and Bolts of past specific recommendations
  • What to do with difficult RFP questions?
  • Effective Training Solutions
  • Review ADV disclosure to ensure conformity with actual practice (use testing across all functional areas)
  • Pre-clearance of advertising material
  • Tips for Disclosures, Practical Checklists

11:45-12:30

Conference Registration

12:30-12:40

Conference Kickoff: Welcome and Introduction

12:45-1:45

Keynote Address John Sileo
John Sileo, CSP, has appeared on 60 minutes, Anderson Cooper, and Rachel Ray. He teaches and demonstrates social engineering in real time. John Sileo teaches how corporate officers can manage and protect data and information. Essential training for compliance professionals!

Regulation S-ID, Regulation S-P, state laws and regulations, foreign regulations, plus FATCA, AML, and KYC obligations all create regulatory obligations to protect information about clients, investors, customers, employees and more. The cyber and privacy threat is very real—considered the greatest risk worldwide.

1:45-1:55

Vendor Introductions

2:00-3:15

SEC Transparency: Current Staff Recommendations and Examination Priorities: Risks and Priorities Identified-What’s Next
With a stated goal of avoiding mixed messages, the SEC annually publishes its examination priorities. This panel will discuss the priorities, the expected examination focus, new and emerging concerns and the messages from the SEC and FINRA in their annual priorities letters. The current priorities, and recent trends as well as key points from the three year priority track record

SEC staff developing recommendations regarding transition planning for advisers, annual stress testing by large investment advisers and funds, a program of third party examinations for investment advisers and a uniform fiduciary duty for investment advisers and broker-dealers.

  • Newest Priorities
  • Recurring Priorities
  • New and emerging Concerns
  • What contributes to the Process, what Leads to Enforcement
  • Impact of SEC and FINRA Priorities
  • What to do, How to Implement?
  • Integrate key risk controls, identify risks

3:15-3:30

Networking Break

3:30-4:20

Discussion Groups (Concurrent)

Discussion Group for Large Advisers

  • SEC Priorities
  • Difficult ADV Questions and Disclosure Items: Discuss and Review New/Old Requirements
  • Current focus of OCIE examinations
  • What are the lessons from Enforcement?
  • Best practices from Peers
  • Email Review and Surveillance Techniques Used by the Professionals
  • Insider Trading Controls; NDA Management
  • Formulate Group Questions for Upcoming Panels

Discussion Group for Private Fund Advisers (Hedge/PE/Real Estate)

  • SEC Priorities
  • Difficult ADV Questions and Disclosure Items: Discuss and Review New/Old Requirements
  • Current focus of OCIE examinations
  • What are the lessons from Enforcement?
  • Best practices from Peers
  • Email Review and Surveillance Techniques Used by the Professionals
  • Insider Trading Controls; NDA Management
  • Formulate Group Questions for Upcoming Panels

Discussion Group for Small Advisers

  • SEC Priorities
  • Difficult ADV Questions and Disclosure Items: Discuss and Review New/Old Requirements
  • Current focus of OCIE examinations
  • What are the lessons from Enforcement?
  • Best practices from Peers
  • Email Review and Surveillance Techniques Used by the Professionals
  • Insider Trading Controls; NDA Management
  • Formulate Group Questions for Upcoming Panels

4:30-5:30

Workshops (Concurrent)

Intersection of NIST and SEC: Stepping Up Scrutiny – Improvements You Can Make to Your Cybersecurity Governance Program

  • Stepping up scrutiny, leading the effort to Improve Cybersecurity governance
  • Measures to Consider
  • Identification and assessment of cybersecurity threats, risks, protection of networks and information
  • Risks associated with remote customer access and funds transfer requests
  • Risks associated with vendors and other third parties, detection of unauthorized activity, and experiences with Cybersecurity threats.
  • Conducting periodic assessments
  • Creating and Implementing a Strategy
  • Dissecting Industry’s Top Concerns
  • Cybersecurity Experts Connect Top 10 Concerns with current Regulatory focus in examinations, intersection with NIST Framework controls
  • NIST Integration in Compliance Programs
  • Implementation: Improving Programs

Independent Third Party Compliance Review and Use of Outsourced CCOs

  • SEC’s Risk Alert key takeaways, staff observations
  • New Implications: Staff recommendations and rulemaking
  • Best practices
  • Discussion of benefits, risks and potential pitfalls
  • Managing the third party consultant
  • Policies, procedures and disclosures
  • Internal controls
  • Lessons learned: Enhancements and improvements

5:30-7:30

Welcoming Reception

7:30-8:20

Breakfast

7:40-8:20

Morning Discussion Groups (Concurrent)

Group 1 – Women of Compliance Forum: Tools and Tips for Today’s Challenging World

  • Effective Leadership in a Compliance Program – A Look at Best Practices and Why they are Successful
  • Improving Communication, Strategies, Training
  • Hard and soft skills: what works, what doesn’t
  • Learn from Leaders and peers

Group 2 – Succeeding in Compliance: How To Measure an Effective Program

  • Measuring success
  • Covering all aspects: 10 minimum elements as well as assessing firm and business specific needs
  • Design of a successful program
  • Measuring the results
  • Success: effective in assessing risks, regulatory trends, and prevents violations
  • Implementation and management considerations to achieve a successful SEC exam
  • Communication and training
  • Effective leadership

Group 3 – Regulatory Reporting Review

  • A current snap shot of required Filings
  • Identifying difficult aspects
  • Methods for Managing
  • Tips for Utilizing and Analyzing Results in Your Risk Program
  • Current regulatory concerns
  • Forms: ADV, 13H, 13F, 13D, 13G, PF, SLT, TIC, SHC, SHL, BEA…ERISA and more
  • State filings
  • Lobbyist filings

8:25-8:35

Housekeeping & Introduction

8:35-8:45

Vendor Introductions

8:50-10:00

A Fresh Look at The Compliance Programs Rule and SEC Oversight
This panel will address current considerations for Compliance Programs, new insights and strategies from the SEC, how the framework and new risks shape Compliance Programs, as well as consideration to the structure, mission and flexibility of the OCIE’s focus. Discussing key strategies for how investment advisers are examined today. Targeting specific SEC Initiatives, looking at new risks, gathering data, measuring risks, setting priorities, and bringing enforcement cases are all a part of the SEC process. New consideration of ideas. Rule-making discussions and guidance about the role of Chief Compliance Officers, outsourced CCOs, and independent third party reviews.

  • Current SEC staff recommendations
  • Annual Review and Compliance Program Evaluations
  • Big Data and Testing
  • Managing the SEC Examination
  • Compliance Resources
  • SEC’s ambitious agenda and initiatives
  • Staying on the Road to Enterprise Success

10:00-10:15

Networking Break

10:15-10:30

Vendor Introductions

10:30-11:30

Due Diligence: Responsibility for Vendors
Required by Regulation S-ID, long-practiced by institutional managers of managers, and suggested by SEC Risk Guidance, due diligence of service providers must be an essential component of every compliance program. From Madoff-type threats to data security threats, strong due diligence practices can lead to the detection and prevention of risk. This panel will provide tools to make sure compliance is a leader in the management of risks posed by third parties.

  • Inventory Service Providers by Type
  • Evaluate Services and Risks
  • Identify Mission Critical Service Providers
  • Plan Essential Reviews
  • Review Consistency of Disclosures
  • Effective measures for developing Due Diligence methods and procedures

11:35-12:30

Discussion Groups Part 2 (continuation of Yesterday Afternoon’s Discussion).

Large Advisers

  • From Pension Funds to Wrap Programs
  • Responding to Due Diligence: Common Practices
  • Information Sharing
  • Cybersecurity concerns

Private Fund Advisers

  • Updates about the private fund adviser unit, and SEC initiatives concerning private fund managers.
  • Offering Funds
  • Fund Administration: You can outsource but are still responsible. Self-administration considerations.
  • Marketing, Solicitations, Bad Actors
  • Current SEC focus

Small Advisers

  • Fiduciary Issues for Small Advisers
  • Successor Planning
  • Key Operational Issues
  • Elderly Care and Diminished Capacity Issues

12:30-1:30

Lunch

1:30-1:45

Vendor Introductions

1:50-2:40

SPECIAL PRESENTATION Rick Marshall

2:40-2:55

Networking Break

3:00-4:00

Concurrent Breakouts

Group 1 -The Role of Ethics in Today’s Workplace

  • Step beyond your Code of Ethics
  • Understand why encouraging an ethical work environment mitigates Enterprise Risk.
  • Identifying pitfalls, tangible methods
  • Integrating ethics within the Organization
  • Effective ethical programs

Group 2 – Follow Up and Continuation of Discussion Group for Large Advisers

  • Communicating with Management and Boards
  • Communication with difficult business personnel
  • Managing a problem
  • Managing the message
  • Essential training for staff

Group 3 – Follow Up and Continuation of Discussion Group Private Fund Advisers (Hedge/PE/Real Estate/More)

  • How to customize your Manual (and make sure it has the right topics!)
  • Essential training for staff
  • Found a problem? Strategies and approaches

Group 4 – Follow Up and Continuation of Discussion Group for Small Advisers

  • What are the pitfalls of Form ADV
  • What are the most frequently missed disclosures in Part 2A
  • Found a problem? What to do when you identify a problem
  • How to customize your Manual (and make sure it has the right topics!)

4:05-5:15

Hurdling the SEC Examination
This panel will dissect the current examination letters in use. Topic-by-topic, rule-by-rule. And what new priorities will bring to the Examination.

  • New OCIE rules, Guidance – Lessons learned
  • Implementation and Status of Staff Recommendations
  • Dissecting the document request: There is a Purpose for Each Request
  • How to manage the Exam to successful resolution
  • How new Exam Priorities impact 2016 exams
  • Effective exam responses

5:20-6:15

ACM User Group
Has your firm implemented Ascendant Compliance Manager, or are you considering it? Do you have questions about how to fully utilize ACM? Join this User Group to learn from the ACM Support Team to understand the full strength and tools of ACM.

6:30-9:30

Reception/Dinner – Always a Fabulous Event!

7:30-8:20

Breakfast

7:40-8:20

ACM User Group
Has your firm implemented Ascendant Compliance Manager, or are you considering it? Do you have questions about how to fully utilize ACM? Join this User Group to learn from the ACM Team to understand the full strength and tools of ACM.

8:20-8:35

Opening Remarks & Raffle

8:35-9:30

Custody, Operations, Wire Transfers, Expenses
This session is all things essential to never losing client assets.

The Custody Rule stands associated with scores of FAQs and some guidance for claiming client assets without custody. Full audits and surprise exams rule the day.

  • Industry trends, custodial policies and Apps
  • The Custody Rule and new guidance
  • Testing Policies and Procedures for Cash Transfers and Expense Payments
  • SEC Examination of Procedures and Controls
  • Valuation Rules & Standards
  • Audits and Surprise Exams
  • Internal controls

9:35-10:50

SPECIAL PRESENTATION Fraud Detection: Reading Body Language Janine Driver

  • The importance of understanding people to detect fraud
  • The need for a better job assessing people
  • Foster open communication
  • Red flags
  • Re-evaluate employees

10:50-11:05

Networking Break

11:05-12:00

More Take-Aways: Concurrent Breakout Workshops

Group 1 – Ethics Case Studies
“Why do good people do bad things?” Takeaways from the case studies.

  • How to identify problems. Why do they happen?
  • Interesting (surprising) case studies
  • Based on studies of behavioral ethics, learn tangible ways on how to tackle ethical dilemmas and improve ethics within the organization.

Group 2 – AML for RIAs
Current look at FINCEN rulemaking for Advisers

  • Examination considerations
  • Establishing AML programs
  • Written policies and procedures (best practices)

Group 3 – Forensic Testing: What you Need to know about the SEC’s “NEAT” program, Portfolio Management & Trading

  • SEC’s OCIE tool
  • What big data analysis reveals before examiners arrive
  • Directed Brokerage, Recommended Brokerage, Soft Dollars, CSA Arrangements
  • Fixed Income
  • Internal Testing and Trade Blotter Analysis
  • Trade Analytics and Forensics Understanding; Monitoring; Testing;
  • Trade Data Analysis
  • Analyzing Trade Errors, Cross Trades, Principal Trades
  • Portfolio Management allocation processes

Group 4 – Current Trends with CFTC, NFA and AIFMD

CFTC/ NFA:

  • New CFTC/ NFA Regulatory Considerations
  • Deficiencies and priorities of CFTC/ NFA
  • Regulatory scrutiny – what are possible triggers
  • Current exam practices

AIFMD:

  • Risk management
  • Marketing and management
  • Conflicts of interest
  • Impact on US investors
  • Passport considerations

12:05-1:00

Pulling It All Together and Taking It Home: Enterprise Risk Management

  • Conference highlights reviewed and discussed.
  • Overview of key takeaways
  • What we’ve learned from OCIE priorities and Exam Priorities
  • Overview of key points from each session

End of Conference

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Loews Portofino Bay Hotel

5601 Universal Blvd., Orlando, Florida, USA 32819
Tel: +1 407 503 1000
Web: https://www.loewshotels.com/portofino-bay-hotel

Inspired by Portofino harbor on the Italian Riviera, this luxury hotel was designed to offer the ambiance of an Italian seaside village. Many of the guest rooms overlook the resort’s own lake, Portofino Bay, and with details like cobblestone streets, towering cypress trees, and harbor piazzas, one could almost be in Italy.

The Loews Portofino Bay Hotel, a AAA Four Diamond Award® resort, offers superior service and world-class accommodations. Each spacious guest room evokes an impression of European luxury with custom designed furnishings and marble accents, as well as views of the gardens, Portofino Bay, or one of the three swimming pools. The hotel has three full service restaurants, two quick service restaurants, a bakery, and two lounges all offering a wide variety of Italian cuisine. From the hotel’s three themed swimming pools to the world-class spa, the complimentary fitness center, or the daily Musica della Notte show in the harbor piazza, the hotel has a wide range of recreational activities. A jogging and walking trail runs the perimeter of the resort and Campo Portofino is a supervised activity center offering activities for children.

The Loews Portofino Bay Hotel offers guests special golf benefits including complimentary transportation to some of the area’s finest golf courses, including Grand Cypress Golf Club and Windermere Country Club.

Guests of the hotel will receive exclusive theme-park benefits – Universal Expresss unlimited ride access to skip the regular lines in both theme parks all day—a free benefit worth up to $89 per person, per day (valid theme park admission required). Plus, there’s early park admission† to The Wizarding World of Harry Potter™, one hour before the theme park opens.

Hotel Reservations

Ascendant Compliance Management has reserved a block of rooms with a group rate of $249.00 per night at the Loews Portofino Bay Hotel for the nights of April 2 – 6, 2016. For reservations a dedicated booking website has been created for our event where you will be able to make or modify your hotel reservations online. To access the website, please click the following link:

http://uo.loewshotels.com/en/Portofino-Bay-Hotel/GroupPages/Ascendant

Or, to speak with a reservations agent to make your reservation, please call 866.360.7395 and ask for the Ascendant Compliance Management block for the conference to be held at Loews Portofino Bay Hotel The room rate of $249.00/ night single or double is offered 3 days before and 3 days after the conference based upon availability of group rooms at the time of the request. The cut-off date for the group rate is Friday, March 4, 2016, so make your reservations early, to be assured a room at the conference hotel.

Ground Transportation

Taxis are approximately $40 – $60 each way from Orlando International Airport to the Loews Portofino Bay Hotel and can be picked up outside baggage claim.

The Mears Shuttle Service departs from each baggage-claim area and makes multiple stops. The trip from the airport to the hotel is between 1 hour and 1 ½ hours and the cost is $20 per person one way.

Private Car Service, Destination MCO, can be arranged through the concierge at the Loews Portofino Bay Hotel. Approximately $90 each way for a regular sedan for up to four people. For more information or to make arrangements, please contact the concierge at 407.503.1200.

Loews Portofino Bay – Map

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