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Conference Program/Sessions


This year's conference has a dynamic schedule of events.

Click here for a PDF version of the program.
 

 

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 Monday, January 28
Session Title Room Session Track Session Type
10:00 AM - 6:30 PM
Registration Open Preservation Hall (2nd Floor)
2:00 PM - 3:45 PM
Advancing Women in Leadership Workshop Mardi Gras Ballroom, Salon E (3rd Floor) Pre-Conference Workshop
4:00 PM - 5:15 PM
Opening General Session: Inside the Mind of Innovators Grand Ballroom, Carondelet (3rd Floor) General Session
5:15 PM - 6:30 PM
Opening Networking Reception Grand Ballroom, Acadia & Bissonet (3rd Floor)
 Tuesday, January 29
Session Title Room Session Track Session Type
6:30 AM - 6:30 PM
Registration Open Preservation Hall (2nd Floor)
6:45 AM - 7:45 AM
Networking Breakfast Grand Ballroom, Acadia & Bissonet (3rd Floor)
8:00 AM - 9:00 AM
Compliance Track: Making the Shift from the Department of Labor's Fiduciary Rule to SEC Regulation Best Interest Mardi Gras Ballroom, Salon E (3rd Floor) Compliance Concurrent Session
Due Diligence Track: Processes and Procedures Studios 7-8 (2nd Floor) Due Diligence Concurrent Session
Investment Advisory Services Track: Is Flat Fee Pricing a Viable Option? Mardi Gras Ballroom, Salons F,G,H (3rd Floor) Investment Advisory Services Concurrent Session
Marketing, Growth & Development Track: Leveraging Technology Mardi Gras Ballroom, Salons A,B,C (3rd Floor) Marketing, Growth & Development Concurrent Session
Operations & Technology Track: Vendor Management Studios 9-10 (2nd Floor) Operations & Technology Concurrent Session
Supervision Track: Supervising Conflicts of Interest Studios 1-2 (2nd Floor) Supervision Concurrent Session
9:00 AM - 9:30 AM
Networking Break Grand Ballroom, Acadia & Bissonet (3rd Floor)
9:30 AM - 10:30 AM
CEO Track: Building vs. Buying Technology Mardi Gras Ballroom, Salon D (3rd Floor) CEO Concurrent Session
Joint Compliance and Due Diligence Track: Regulatory Update Mardi Gras Ballroom, Salon E (3rd Floor) Joint Compliance and Due Diligence Concurrent Session
Investment Advisory Services Track: Trends and Options in RIA Structures Mardi Gras Ballroom, Salons F,G,H (3rd Floor) Investment Advisory Services Concurrent Session
Marketing, Growth & Development Track: Attracting and Learning from the NextGen Advisor Mardi Gras Ballroom, Salons A,B,C (3rd Floor) Marketing, Growth & Development Concurrent Session
Operations & Technology Track: Innovation Studios 9-10 (2nd Floor) Operations & Technology Concurrent Session
Supervision Track: Outside Business Activities and Private Securities Transactions Supervision Concurrent Session
10:30 AM - 11:00 AM
Networking Break Grand Ballroom, Acadia & Bissonet (3rd Floor)
11:00 AM - 12:00 PM
General Session: FSI Firm Leadership Panel Grand Ballroom, Carondelet (3rd Floor) General Session
12:00 PM - 1:30 PM
Networking Lunch Grand Ballroom, Acadia & Bissonet (3rd Floor)
1:30 PM - 2:30 PM
CEO Track: Leveraging Clearing Firms/Vendors/Sponsors Mardi Gras Ballroom, Salon D (3rd Floor) CEO Concurrent Session
Compliance Track: Hot Topics in Supervision Mardi Gras Ballroom, Salon E (3rd Floor) Compliance Concurrent Session
Joint Due Diligence and Investment Advisory Services Track: Advisory Program Product Mix - All Products are Not Created Equal Mardi Gras Ballroom, Salons F,G,H (3rd Floor) Joint Due Diligence and IAS Concurrent Session
Marketing, Growth & Development Track: Leveraging Apps and Software Tools for Marketing Efficiency Mardi Gras Ballroom, Salons A,B,C (3rd Floor) Marketing, Growth & Development Concurrent Session
Operations & Technology Track: Metrics for Service Management Studios 9-10 (2nd Floor) Operations & Technology Concurrent Session
Supervision Track: Supervision of High Risk Brokers Studios 1-2 (2nd Floor) Supervision Concurrent Session
2:30 PM - 3:00 PM
Networking Break Grand Ballroom, Acadia & Bissonet (3rd Floor)
3:00 PM - 4:00 PM
Joint CEO and Operations & Technology Track: Cybersecurity Mardi Gras Ballroom, Salon D (3rd Floor) Joint CEO and Ops & Tech Concurrent Session
Compliance Track: The Continuing Share Class Conundrum Mardi Gras Ballroom, Salon E (3rd Floor) Compliance Concurrent Session
Due Diligence Track: Communicating Product Decisions and Changes Studios 7-8 (2nd Floor) Due Diligence Concurrent Session
IAS Track: Advisory Technology Parameters and Best Practices Mardi Gras Ballroom, Salons F,G,H (3rd Floor) Investment Advisory Services Concurrent Session
Marketing, Growth & Development Track: Business Development and Strategic Planning Mardi Gras Ballroom, Salons A,B,C (3rd Floor) Marketing, Growth & Development Concurrent Session
Supervision Track: Supervising Client Communications in the Social Media Era Studios 1-2 (2nd Floor) Supervision Concurrent Session
4:15 PM - 5:15 PM
Closing General Session: The Alliance: How to Manage Talent in the Networked Age Grand Ballroom, Carondelet (3rd Floor) General Session
5:15 PM - 6:30 PM
Networking Reception Grand Ballroom, Acadia & Bissonet (3rd Floor)
 Wednesday, January 30
Session Title Room Session Track Session Type
7:00 AM - 10:00 AM
Registration Open Preservation Hall (2nd Floor)
7:30 AM - 8:00 AM
Discussions Breakfast*
8:00 AM - 10:00 AM
Marketing, Growth & Development Discussion* Studios 1-2 (2nd Floor) Discussion
8:00 AM - 11:00 AM
Due Diligence Discussion* Studio 4 (2nd Floor) Discussion
Investment Advisory Services Discussion* Studios 7-8 (2nd Floor) Discussion
Supervision Discussion* ***CANCELED*** Studio 3 (2nd Floor) Discussion
8:00 AM - 12:00 PM
CEO Discussion* Galerie 1 (2nd Floor) Discussion
Compliance Discussion* Galerie 2 & 3 (2nd Floor) Discussion
Operations & Technology Discussion* Studios 9-10 (2nd Floor) Discussion
12:00 PM - 12:00 PM
Conference Adjourns



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