Schedule at a Glance

(tentative schedule, subject to change)

Monday, January 27
7:00 a.m.- 6:30 p.m.	Registration Open
8:00 a.m. - 1:00 p.m.	FSI Board of Directors Meeting (Board Members Only; Closed to Media)
8:00 a.m. - 2:00 p.m.	Reg BI Workshop: Implementation Phase, Sponsored by ATA RiskStation, LLC (Pre-registration required and additional fees apply. Closed to Media)
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)
12:00 - 2:00 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 (Pre-registration required and additional fees apply)
4:00 – 5:15 p.m.	Opening General Session: Navigating the Big Shift
5:15 - 6:30 p.m.	Opening Networking Reception, Sponsored by The Wall Street Journal


Tuesday, January 28
6:30 a.m. - 6:30 p.m.	Registration Open
6:45 - 7:45 a.m.	Networking Breakfast
8:00 - 9:00 a.m.	Joint CEO & Marketing, Growth & Development Track, Sponsored by Riskalyze: Remaining High Touch in a High-Tech World Compliance Track, Sponsored by Workplace by OS33: OBAs, DBAs, and Legal Entities: What are the Differences? Due Diligence Track: Variable and Fixed Index Annuities: Product Design Trends & Process Investment Advisory Services Track: Navigating the Complexity of Transitioning to Advisory Operations & Technology Track, Sponsored by Workplace by OS33: Hiring Staff in an Evolving Industry Supervision Track: High-Risk Brokers, Heightened Supervision and Planning (Closed to Media)
9:00 - 9:30 a.m.	Networking Break, Sponsored by The Wall Street Journal
9:30 - 10:30 a.m.	CEO Track, Sponsored by Riskalyze: Developing and Maintaining a Unique Culture Compliance Track, Sponsored by Workplace by OS33: Evolution of Suitability Due Diligence Track: Utilizing Private Equity, Hedge Funds and Illiquid Product Solutions Investment Advisory Services Track: Effective Partnerships with Third-Party Turnkey Asset Management Programs Marketing, Growth & Development Track: A Look at Today's Advisor Recruiting Landscape Operations & Technology Track, Sponsored by Workplace by OS33: Combating Fraud in a Self-Service Environment Supervision Track: Suitability: Position and Sector Concentrations
10:30 - 11:00 a.m.	Networking Break, Sponsored by The Wall Street Journal
11:00 a.m. - 12:00 p.m.	General Session: Cybersecurity Panel, Sponsored by Workplace by OS33
12:00 - 1:30 p.m.	Networking Lunch
1:30 - 2:30 p.m.	CEO Track, Sponsored by Riskalyze: Developing More Productive Advisor Practices for Your Firm Compliance Track, Sponsored by Workplace by OS33: Improving Branch Exams Due Diligence Track: Qualified Opportunity Zone Funds Investment Advisory Services Track: Integrating Discovery and Profiling Tools into Advisory Platforms Marketing, Growth & Development Track: Maximizing Your Firm's Value for Today and for the Future Operations & Technology Track, Sponsored by Workplace by OS33: Taking the Leap into Robotic Automation Supervision Track: Senior Investors and Senior Advisors: AML and Suspicious Activity
2:30 - 3:00 p.m.	Networking Break, Sponsored by The Wall Street Journal
3:00 - 4:00 p.m.	CEO Track, Sponsored by Riskalyze: Private Equity Firms' View of Our World Joint Compliance and Marketing, Growth & Development Track, Sponsored by Workplace by OS33: Leveraging Digital Media to Maximize Awareness While Remaining Compliant Due Diligence Track: Regulatory Update Investment Advisory Services Track: Driving Evolution and Adaptation for Future Success Operations & Technology Track, Sponsored by Workplace by OS33: Operationalizing Best Interest Supervision Track: Trade Review and Suitability
4:15 – 5:15 p.m.	General Session: Preparing for the Fourth Industrial Revolution
5:15 - 6:30 p.m.	Networking Reception


Wednesday, January 29
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 (closed to media)*
8:00 - 11:00 a.m.	Compliance Discussion (closed to media)* Due Diligence Discussion (closed to media)* Investment Advisory Services Discussion (closed to media)* Operations & Technology Discussion (closed to media)* Supervision Discussion (closed to media)*
8:00 a.m. - 12:00 p.m.	CEO Discussion (closed to media)*
10:00 a.m. - 12:00 p.m..	FSI Marketing, Growth & Development Council Meeting (MG&D Council Members Only; Closed to Media)
12:00 p.m.	Conference Adjourns

*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