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7:00 to 5:00 p.m. 7:00 to 8:00 a.m. 8:00 to 10:30 a.m. Litigation and Enforcement Trends Following
two straight years of reporting declines in the number of new lawsuits and
regulatory proceedings — including a drop in large-dollar cases — financial
services companies are bracing for a marked uptick in customer claims and
government enforcement proceedings. Roberts will discuss the claims facing the
insurance and financial services industries, what to expect in the future, and,
most importantly, how to avoid prospective exposure. He will also address the
information sharing arrangements introduced by and among the Department of
Labor, the Securities and Exchange Commission and FINRA and their effect on
consecutive examinations and cooperative enforcement. Want a Free Lunch? Older
investors get inundated with free-lunch investment seminar invitations.
Sometimes during these seminars people are lured into investing in unsuitable
products. Learn how AARP and NASAA are working together to educate and empower
consumers. Castillo will also share do’s and don’ts on how to work with
older clients, which present unique challenges and opportunities to financial
professionals. Regulatory Ripple or Sea Change — What Do We Do Now? Brian Rubin, Partner, Sutherland, Asbill & Brennan Noah Sorkin, Senior Vice President and General Counsel,
AIG Advisor Group, Inc. Review
the current state of law and discuss the implications of the SEC’s proposed
amendments to Reg S-P in this informative session. Panelists will cover evolving
“standard practice” solutions and offer practical tips for complying with
new regulations. 10:30 to 10:50 a.m. 10:50 to 11:50 a.m. 1.1 In Search of the Ultimate Training Program James Oleksy, Chief Compliance Officer,
Allstate Financial Services, LLC Get
tips from industry representatives for delivering effective, timely training to
producers on important compliance issues. You will learn about: ·
Annual compliance meetings, Firm Element,
fraud, AML, ethics, and other required training. ·
The differences between Web-based and
in-person training, and when they should be used. ·
The benefits of combining in-house training
with vendor services. 1.2 From the Womb to the Tomb — Producer Style! Thomas Horack, Chief Compliance Officer, John
Hancock Financial Network Louis Mazza, CLU, ChFC, LUTCF, Senior
Assistant Vice President, Amica Life Insurance Company How
do you manage producers at different stages of their careers? How do you even
get them in the door in the first place...and, perhaps more importantly, how and
when do you get them out if the need arises? ·
What forms of due diligence should you
be performing before, during and after a producer’s time with you? ·
How do your management styles differ
depending on producers’ career maturity and knowledge levels? ·
Learn from three seasoned professionals some
of their more successful approaches to managing the life cycle of a producer —
from hiring through firing! 1.3 Driving Compliance Effectiveness in Difficult Times Current
economic and market conditions pose great challenges to compliance professionals
as they face the dual pressure of significant decreases in revenue and
increasing regulatory oversight. In addition, compliance departments in all
manner of financial institutions must cope with an extremely complex and rapidly
changing environment, from budget and expense pressures, to adverse complaint or
litigation trends, to anticipating significant changes in the regulatory and
enforcement climate. This
session will explore how firms can ensure that their compliance investment is
producing optimal results, improve efficiency without sacrificing compliance
standards, and effectively serve multiple stakeholders with sometimes
conflicting priorities and demands. 11:50 a.m. to 12:50 p.m. LUNCH WITH EXHIBITORS 12:50 to 2:20 p.m. CONCURRENT SESSIONS 2.1 Big Brother is Watching — Or Sure is Trying! Edward J. Wiles, Jr., Esq., Senior Vice President & Chief
Compliance Officer, Genworth Financial Securities Corp., Genworth Financial
Advisers Corp. Technological
advances have broadened the means by which producers can communicate with
clients and prospects. The Internet, Web sites, chat rooms, email, instant
messaging, and social networking sites all pose significant new challenges for
diligent compliance departments. Join our panelists in a discussion of real life
scenarios and lessons learned in efforts to monitor and supervise producers’
communications. 2.2 Supervision 101 James R. Mollo, CPA, Vice President,
Operations, Prudential What
are the primary issues of concern regarding the supervision of agents,
representatives and advisors? How do firms meet the challenges of implementing
good supervision of private or remote offices? What lessons can be learned from
regulatory actions alleging failure to supervise? This panel will explore how
field supervision works best despite geographic, resource, or regulatory
challenges. 2.3 Odds Are It’s an Issue You’ve Encountered Diane B. Horn, Director, Compliance & AML
Officer, Northwestern Mutual Investment Services Patrick
Lightcap, Office of Compliance, Financial Crimes Enforcement Network Robert Paul Mallick, Esq., Second Vice President, Senior Compliance
Officer, Phoenix Life
Insurance Company Join
Anti-Money Laundering industry experts for an informative discussion on the
compliance challenge of developing and supporting an AML program and how these
programs compliment other market conduct/fraud monitoring systems. Hear what
regulators and your peers are currently focusing on. Discuss with panel members
their innovative approaches and solutions to transaction monitoring, suspicious
activity reporting, training and exams. 2:20 to 2:40 p.m. 2:40 to 3:40 p.m. 3.1 Changing the Annuity Landscape — SEC Rule 151A Allen
Reed, Associate Counsel, Allstate Financial, Assistant Secretary, Allstate
Financial Advisers, LLC & Allstate Financial Services, LLC Gregory D. Woodworth, Senior Vice President
and General Counsel, National Life Group SEC
Rule 151A has changed the playing field for indexed annuity carriers. At the
same time, the rule has potential long-range implications for all annuity
carriers and the future of annuity regulation. Join our panelists as they
summarize the rule, discuss the potential impact on companies and distribution
channels, debate its favorable and unfavorable aspects, and opine on what it
means to the future of regulation.
Lawrence
Riddell, Director of Compliance, John Hancock Financial Network Katherine Siino, CLU, ChFC, Director, Corporate Ethics and Compliance, MetLife This presentation focuses on FINRA's examination program and covers program priorities, sales practices, and market regulation areas. Industry and regulatory panelists discuss recent updates to the exam program, firm preparation, best practice insights about managing the process, challenges encountered during the examination, handling deficiencies and generally preparing your branch locations for an on-site regulatory visit.
3.3 Why Didn’t We Know About This? Keeping Up with
Constantly Changing Regulatory Requirements Thomas W. Stallings, CLU, RHU, FLMI,
President, Clear Market Practices How
do you monitor all of the changing regulatory requirements that affect your
business? Should you build a process to handle it in-house, or take advantage of
the services a vendor can provide? Learn what makes a tracking process effective
and how you can improve your current process. 3:40 to 4:00 p.m. 4:00 to 5:00 p.m. 4.1 Driving Compliance Effectiveness in Difficult Times (repeat) 4.2 You Be The Judge: A Mock FINRA Arbitration Witness
first-hand what it’s like to go through a FINRA arbitration brought by a
client against a registered representative who was also acting as an IAR. You
will see a broad range of evidence, and witness the testimony and cross
examination of the client, the representative, his supervisor, and other
witnesses. You’ll learn what was said, how it was documented, and how it went
wrong — then review the evidence and help decide the award. Following the
“trial” will be a discussion of best practices you can use to avoid being
the next one in the witness chair. 4.3 Metrics… Now What? Debbi Corej, Vice President, Compliance, Prudential Financial Katherine Siino, CLU, ChFC, Director, Corporate Ethics and Compliance, MetLife Join
an interactive discussion to explore how firms are using metrics to identify
compliance issues and take action. Panelists have created case studies from
their own experiences. Attendees will be asked to evaluate the metrics used as
risk indicators and then share what they would consider the best practice in
response. Friday,
June 26 7:00 to 8:00 a.m. 8:00 to 9:40 a.m. Regulatory Examinations — A Panel Discussion Bonnie Moore, Chief Compliance Investigator, Office of the
Secretary of State, Securities Division, State of Nevada Even
though examination priorities are publicly discussed and published, it can be
difficult to navigate the concerns of multiple regulators. Each regulatory body
has its own jurisdiction and perspective on financial markets, products and
services. This panel includes examination staff from the SEC and the State of
Nevada who will discuss their organizations respective exam priorities.
Compliance professionals can use the information from this session to help
organize their own firm’s regulatory priorities and compliance activities. Think Like a Criminal to Enhance Your Company’s
Compliance Criminals
can easily expose your firm to reputational and financial risks that hit your
bottom line. Robert Goecks draws on his decades of experience as an IRS Criminal
Investigations special agent, FINRA investigator, and AML compliance officer to
explain: ·
What lawbreakers steal and launder ·
How firms, regulators, and law enforcement
officials can work together to prevent criminal activity 9:40 to 10:00 a.m. 10:00 to 11:30 a.m. GENERAL SESSION Gloria Sawusch, FLMI, ACS, AIRC, Senior Compliance
Division Manager, Allstate Financial Stephen Selby, Director of Regulatory Services, LIMRA How
often have you heard that your firm’s procedures are going to cost business
because “Nobody else does this!”? Using hand-held voting devices, you and
your peers will give frank, anonymous answers to gain a quick read on those
thorny compliance issues your marketing VP hates. Add a fresh dimension to your
learning experience by: ·
Comparing your understanding of new
regulations with that of your peers. ·
Sharing ideas on how to implement processes to
ensure compliance. Please
submit your questions by June 1 to corporate.compliance@phoenixwm.com
Program Information Registration Information Register by May 22, 2009: Register after May 22, 2009: Spouse/Guest Fee: A fee of $75 is available
to spouses and guests of registered attendees. Individuals in an
industry-related position, co-workers, or associates do not qualify. We
invite spouses/guests to participate in the event's food and social
functions and ask that they wear their badge to these events.
Participation in the general sessions and workshops is limited to those
who have paid the full registration fee to attend the conference. Refund Policy: Attire Car
Rental
Continuing
Professional Education Credit
LOMA is registered with the National Association of State Boards of Accountancy as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-24170. Web site: www.nasba.org. For more information regarding administrative policies such as complaints and refunds, please contact our offices at 770-984-6453. CLE: Although pre-approved CLE credits are not available for this conference, attorneys may contact their bar association in advance to determine what items (i.e., program outline, handouts, etc.) should be gathered at the conference so that they can submit the appropriate documentation to their bar associations and receive credits. PACE Credits: A PACE form will be available for your records to qualify for CLU and ChFC continuing education requirements only. If you have any questions or need more information about the PACE program, please contact Student Services, The American College, 270 Bryn Mawr Avenue, Bryn Mawr, PA 19010, phone (619) 526-1490. Thank
You to Our 2009 Exhibitors
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