December 6 – 7, 2017 Ft. Lauderdale, FL 2017 FINRA South Region Compliance Seminar 0 0 Hear perspectives, strategies and guidance on issues affecting the securities industry including AML, cybersecurity, fixed income and more. 0 0 Network and share ideas with peers, FINRA staff and industry practitioners. 0 0 Earn CRCP, CLE and CFP CE credits.
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Ft. Lauderdale, FL 2017 FINRA South Region …...December 6 – 7, 2017 Ft. Lauderdale, FL 2017 FINRA South Region Compliance Seminar 00 Hear perspectives, strategies and guidance
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December 6 – 7, 2017
Ft. Lauderdale, FL 2017 FINRA
South Region Compliance Seminar
00 Hear perspectives, strategies and guidance on issues affecting the securities industry including AML, cybersecurity, fixed income and more.
00 Network and share ideas with peers, FINRA staff and industry practitioners.
Panelists: • Yvette Panetta,FINRABocaRatonDistrictOffice• Blake Snyder,FINRAAnti-MoneyLaunderingInvestigativeUnit(AMLIU)• Daniel Stefek,FINRAAtlantaDistrictOffice• Erin Vocke,FINRADallasandNewOrleansDistrictOffice
11:05a.m. –11:15a.m. NetworkingBreak
11:15 a.m. – 12:15 p.m. Concurrent Sessions I
00 Effective Practices for Managing Conflicts of Interest and Considerations Related to Dual RegistrationThissessionexploresmajortypesofconflictsofinterestfacingfirmsandexaminesthetypicalsupervisorysystemsusedtoaddressthoseconflicts.Inaddition,thesessionprovidespracticalinsightregardinghowfirmscanmanagedualregistrationissues.
Panelists: • Ronald Klimas,SecuritiesServicesNetwork,Inc.• Joelle Morris,FINRADallasDistrictOffice• Mary Simonson,AdvisorGroup,Inc.
FINRA’s South Region Compliance Seminar
The South Region Compliance Seminar is conducted to help firms and their associated persons better understand current industry and regulatory issues. Throughout the event, staff members from the Atlanta, Boca Raton, Dallas and New Orleans offices, as well as other FINRA senior staff, will be available to discuss matters of interest with you.
2017 FINRA South Region Compliance Seminar | #FinraSR Register at www.finra.org/southregion2017
Moderator:• Elizabeth Mauro,FINRABocaRatonDistrictOffice
Panelists: • William Givens,MorganStanley• Casey Harper,FINRADallasDistrictOffice• Caroline Hall,RaymondJamesFinancial,Inc.
00 Demystifying Cybersecurity: Effective Practices to Help Strengthen Your Program (offered twice)Thissessionprovidesguidanceonusefulpracticesforprotectingcustomerinformation,whattodointheeventofadatabreach,andtacklingothercybersecuritysituations.Doyouhaveaplanthatiscomprehensiveorrobust?Areyoueffectivelyprotectingyourfirmandyourclientsfromthreats?Whetheryouarejuststartingoutorupdatingawell-documentedapproach,thissessionprovidesactionableeffectivepracticesandhighlightsin-depthtoolstohelpyoustrengthenyourcybersecurityprogram.
Panelists: • David Kelley,FINRAKansasCityDistrictOffice• Kevin Rosen,Shutts&BowenLLP• Andy Zolper,RaymondJamesFinancial,Inc.
12:15p.m.– 1:15p.m. NetworkingLunch
1:15p.m.– 1:45p.m. Keynote Address: Susan Axelrod, FINRA Office of Regulatory Operations
1:45p.m.– 2:00p.m. NetworkingBreak
2017 FINRA South Region Compliance Seminar | #FinraSR Register at www.finra.org/southregion2017
Agenda continued
Continuing Education (CE) Credits
Attendance to this seminar qualifies for Certified Regulatory and Compliance ProfessionalTM (CRCPTM), Certified Financial Planner (CFP) and Continuing Legal Education (CLE) continuing education credits.
CLE attendees will receive a five (5)-credit CLE CE voucher from NACLE (National Academy of Continuing Legal Education) for attending the South Region Compliance Seminar.
Moderator: • Jason Foye,FINRAAnti-MoneyLaunderingInvestigativeUnit(AMLIU)
Panelists: • Peter Gonzalez,FINRAAnti-MoneyLaunderingInvestigativeUnit(AMLIU)• Shawn Murray,FINRABocaRatonDistrictOffice
00 Writing and Maintaining WSPsThissessionprovidesguidanceandpracticaltipsfordevelopingorreviewingwrittensupervisoryprocedures(WSPs).WSPsare“livingdocuments,”andshouldprovidearoadmapforsupervisorypersonneltofollowwhentheyconductreviews.JoinFINRAseniorstaffandindustrypanelistsastheydefineandprovideguidelinesforcreatingWSPs.
Moderator: • Gargi Sharma, FINRA Boca Raton District Office
Panelists: • Rosemary Magee,RoyalAllianceAssociates,Inc.• Amanda Senn,AlabamaSecuritiesCommission• Mary Tucker,WellsFargoAdvisors• Jeanette Wingler,FINRAOfficeofGeneralCounsel
00 Demystifying Cybersecurity: Effective Practices to Help Strengthen Your Program (offered twice)Thissessionprovidesguidanceonusefulpracticesforprotectingcustomerinformation,whattodointheeventofadatabreach,andtacklingothercybersecuritysituations.Doyouhaveaplanthatiscomprehensiveorrobust?Areyoueffectivelyprotectingyourfirmandyourclientsfromthreats?Whetheryouarejuststartingoutorupdatingawell-documentedapproach,thissessionprovidesactionableeffectivepracticesandhighlightsin-depthtoolstohelpyoustrengthenyourcybersecurityprogram.
3:15 p.m. – 4:15 p.m. Concurrent Sessions III | continued
00 Bonds: 2017 and BeyondDuringthissession,FINRAstaffandindustrypractitionersdiscusscurrentdevelopmentsandfuturetrendsinthefixedincomemarket,includingimplementationofTRACE®reportingforU.S.Treasurysecuritiesandfixedincomemarketstructureissues.
Moderator: • Grant Gibbons,FINRANewOrleansDistrictOffice
Panelists: • Robert Coulter,HilltopSecurities,Inc.• Gene Davis,FINRADallasDistrictOffice• Cynthia Friedlander,FINRARegulatoryOperations,FixedIncome
Panelists: • Alissa (Lisa) Robinson,FINRAMembershipApplicationProgram• Christoph Stoehrfeldt,FINRABocaRatonDistrictOffice• James Webb,CapSecurities,Inc.
10:45a.m.–11:00a.m. NetworkingBreak
11:00 a.m. – 12:00 p.m. Plenary Session IV – Hiring Practices and High-Risk Brokers
Moderator: • Scott Maestri,FINRADallasDistrictOffice
Panelists: • John Clark,FINRABocaRatonDistrictOffice• Jacob Palmer,SWBCInvestmentServices,LLC• Michael Pedlow,KestraInvestmentServices
12:00 p.m. Closing Remarks/Seminar Adjourns | Thomas Nelli, FINRA South Region
Agenda continued
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How to RegisterToregister,visitwww.finra.org/southregion2017andcompletetheonlineregistrationformusingyourcreditcard.Conferenceregistrationislimitedandavailableonafirst-come,first-servedbasis.Ifyouexperiencedifficultiesregistering,pleasecall(202)[email protected].
* Available to firms registering 3 or more employees at the same time with the same credit card. Please follow instructions in the registration system.
In Person – Individual First 50 Through September 7
50+ or After September 7
FINRA Member Firm | must provide valid CRD # $550 $650
Non-Member $995 $1,195
Government / Regulator $450 $550
In Person – Group Rate* (Per Person) First 50 Through September 1
50+ or After September 1
FINRA Member Firm | must provide valid CRD # $450 $550
FINRA South Region Compliance Seminar AppOurconferenceappiscreatedspecificallyforSouthRegionComplianceSeminarattendees;itempowersourattendeestonetworkandconnect,anditprovidesconferencedetailsatyourfingertips.Theappwillbeavailablefordownloadinthenearfuture.Itincludesinformationabout: