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Schedule at a Glance


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

 

 

 





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