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Virtual
1:00-5:30 p.m. ET (12:00-4:30 p.m. CT, 11:00 a.m.-3:30 p.m. MT, 10:00 a.m.-2:30 p.m. PT)
| 1:00 – 1:50 p.m. | Current SEC Examination Priorities and Compliance Issues, Senior Staff, U.S. Securities and Exchange Commission |
| 1:50 – 2:05 p.m. | Regulatory Update |
| 2:05 – 2:55 p.m. | Cybersecurity/Data Privacy Practical tips to help you implement the SEC’s final data privacy rules governing the protection of clients’ non-public personal information (Regulation S-P). Plus the latest on potential new cybersecurity rules for investment advisers. |
| 2:55 – 3:10 p.m. | Break |
| 3:10 – 4:00 p.m. | Artificial Intelligence Get a compliance handle on complex regulatory and risk concerns arising from the rapidly evolving use of artificial intelligence (AI) technology in connection with providing asset management services. |
| 4:00 – 4:50 p.m. | Marketing Rule Nearly two years after the compliance date of the new Marketing Rule, advisers are still grappling with presentation of performance issues including composites, model fees, and predecessor performance, as well as substantiation requirements. Learn the latest insights and trends. |
| 4:50 – 5:30 p.m. | Peer-to-Peer Discussion Roundtable sessions of members discussing their key priorities, challenges, and initiatives. |
In-Person
9:30 a.m.-3:00 p.m. local time
| 9:30 – 10:20 a.m. | Current SEC Examination Priorities and Compliance Issues, Senior Staff, U.S. Securities and Exchange Commission |
| 10:20 – 10:35 a.m. | Regulatory Update |
| 10:35 – 11:25 a.m. | Cybersecurity/Data Privacy Practical tips to help you implement the SEC’s final data privacy rules governing the protection of clients’ non-public personal information (Regulation S-P). Plus the latest on potential new cybersecurity rules for investment advisers. |
| 11:25 – 11:35 a.m. | Break |
| 11:35 a.m. – 12:25 p.m. | Artificial Intelligence Get a compliance handle on complex regulatory and risk concerns arising from the rapidly evolving use of artificial intelligence (AI) technology in connection with providing asset management services. |
| 12:25 – 1:10 p.m. | Lunch |
| 1:10 – 2:00 p.m. | Marketing Rule Nearly two years after the compliance date of the new Marketing Rule, advisers are still grappling with presentation of performance issues including composites, model fees, and predecessor performance, as well as substantiation requirements. Learn the latest insights and trends. |
| 2:00 – 3:00 p.m. | Peer-to-Peer Discussion Roundtable sessions of members discussing their key priorities, challenges, and initiatives. |