| 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, Sponsored by Broadridge Financial Solutions, Inc. and Fidelity Clearing & Custody Solutions |
| 4:00 – 5:15 p.m. |
Opening General Session: Inside the Mind of Innovators |
| 5:15 - 6:30 p.m. |
Opening Networking Reception |
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| 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, Sponsored by Workplace by OS33: Making the Shift from the Department of Labor's Fiduciary Rule to SEC Regulation Best Interest
Due Diligence Track: Processes and Procedures
Investment Advisory Services Track: Is Flat Fee Pricing a Viable Option?
Marketing, Growth & Development Track: Leveraging Technology
Operations & Technology Track, Sponsored by CGI: 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, Sponsored by Workplace by OS33: Regulatory Update
Investment Advisory Services Track: Trends and Options in RIA Structures
Marketing, Growth & Development Track: Attracting and Learning from the NextGen Advisor
Operations & Technology Track, Sponsored by CGI: 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: FSI Firm Leadership Panel |
| 12:00 - 1:30 p.m. |
Networking Lunch |
| 1:30 - 2:30 p.m. |
CEO Track: Leveraging Clearing Firms/Vendors/Sponsors
Compliance Track, Sponsored by Workplace by OS33: Hot Topics in Supervision
Joint Due Diligence and IAS Track: Advisory Program Product Mix - All Products are Not Created Equal
Marketing, Growth & Development Track: Leveraging Apps and Software Tools for Marketing Efficiency
Operations & Technology Track, Sponsored by CGI: 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 Operations & Technology Track, Sponsored by CGI: Cybersecurity
Compliance Track, Sponsored by Workplace by OS33: The Continuing Share Class Conundrum
Due Diligence Track: Communicating Product Decisions and Changes
Investment Advisory Services Track: Advisory Technology Parameters and Best Practices
Marketing, Growth & Development: 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 |
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| 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*
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| 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) |
