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In This Section



Sponsors

  • broadridge
  • fidelity
  • pershing

Schedule at a Glance


Schedule at a Glance

(tentative schedule, subject to change)
 

Monday, January 28
8:00 a.m. - 3:00 p.m. FSI Board of Directors Meeting (by invitation only; closed to media)
10:00 a.m. - 6:30 p.m. Registration Open
11:00 a.m. - 2:00 p.m.  FSI Compliance Council Meeting (Compliance Council Members Only; Closed to Media)
12:00 - 2:00 p.m. FSI Investment Advisory Services Council Meeting (IAS Council Members Only; Closed to Media)
2:00 - 3:30 p.m.  FSI Operations & Technology Council Meeting (Ops & Tech Council Members Only; Closed to Media)
2:00 - 3:45 p.m. Advancing Women in Leadership Workshop
4:00 – 5:15 p.m. Opening General Session: Inside the Mind of Innovators
5:15 - 6:30 p.m. Opening Networking Reception
 
 
Tuesday, January 29
6:30 a.m. - 6:30 p.m. Registration Open
6:45 - 7:45 a.m. Networking Breakfast
8:00 - 9:00 a.m. CEO Track: Developing Your Bench Strength
Compliance Track: Making the Shift from the Department of Labor's Fiduciary Rule to SEC Regulation Best Interest
Due Diligence Track: Processes and Procedures
IAS Track: Is Flat Fee Pricing a Viable Option?
MG&D Track: Leveraging Technology
Ops & Tech Track: Vendor Management
Supervision Track: Supervising Conflicts of Interest
9:00 - 9:30 a.m. Networking Break
9:30 - 10:30 a.m. CEO Track: Building vs. Buying Technology
Joint Compliance and Due Diligence Track: Regulatory Update
IAS Track: Trends and Options in RIA Structures

MG&D Track: Attracting and Learning from the NextGen Advisor
Ops & Tech Track: Innovation
Supervision Track: Outside Business Activities and Private Securities Transactions
10:30 - 11:00 a.m. Networking Break
11:00 a.m. - 12:00 p.m. General Session
12:00 - 1:30 p.m. Networking Lunch
1:30 - 2:30 p.m. CEO Track: Leveraging Clearing Firms/Vendors/Sponsors
Compliance Track: Hot Topics in Supervision
Joint Due Diligence and IAS Track: Advisory Program Product Mix - All Products are Not Created Equal
MG&D Track: Leveraging Apps and Software Tools for Marketing Efficiency

Ops & Tech Track: Metrics for Service Management
Supervision Track: Supervision of High Risk Brokers
2:30 - 3:00 p.m. Networking Break
3:00 - 4:00 p.m. Joint CEO and Ops & Tech Track: Cybersecurity
Compliance Track: The Continuing Share Class Conundrum
Due Diligence Track:  Communicating Product Decisions and Changes
IAS Track: Advisory Technology Parameters and Best Practices

MG&D Track: Business Development and Strategic Planning
Supervision Track:  Supervising Client Communications in the Social Media Era
4:15 – 5:15 p.m. General Session: The Alliance: How to Manage Talent in the Networked Age
5:15 - 6:30 p.m. Networking Reception
   
   
Wednesday, January 30
7:00 a.m. Registration Open
7:30 - 8:00 a.m. Discussion Breakfast, Varies (see Discussions)
8:00 - 10:00 a.m. Marketing, Growth & Development Discussion*
8:00 - 11:00 a.m.
Due Diligence Discussion*
Investment Advisory Services Discussion*
Supervision Discussion*
8:00 a.m. - 12:00 p.m. CEO Discussion*
Compliance Discussion*
Operations & Technology Discussion*
10:00 a.m. - 12:00 p.m.. FSI Marketing, Growth & Development Council Meeting (MG&D Council Members Only; Closed to Media)
11:00 a.m. - 12:00 p.m. FSI Due Diligence Council Meeting (Due Diligence Council Members Only; Closed to Media)



*Sponsor and exhibitor personnel are ineligible to attend the Wednesday morning discussion meetings with the following exceptions:

  • Ambassador & Premier Sponsors may send one (1) attendee to each of the seven discussions
  • Partner Law Firm Sponsors may send one (1) attendee to the Compliance Discussion Meeting (only).

*Discussion meetings are closed to Media

 

 

 



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