November 3, 2016 – CCLS Annual Compliance Symposium (Anaheim, CA)

The New World of Compliance

Core Compliance & Legal Services, Inc. (“CCLS”) will hold its annual symposium on Thursday, November 3rd, 2016, at the Sheraton Park Hotel in Anaheim, CA. (Across the street from Disneyland!)

During this fun and educational event, the CCLS team will discuss:

  • Elderly Investor Issues Beyond Compliance
  • How to Conduct a Cybersecurity Risk Assessment
  • New DOL Rule: Application of the BIC Exemption and What it Means for You
  • How to Draft Disclosures and Market Performance Advertising to Stay Compliant
  • The Importance of Technology in Compliance – Financial Tracking
  • Effective Testing Ideas for Your Annual Review

 

Agenda

Registration and Continental Breakfast
7:45 am – 8:30 am

Introduction and Welcome – Jack O’Hara 
8:00 am – 8:05 am

Elderly Investor Issues Beyond Compliance – Michelle Jacko
8:05 – 8:35 am

How to Conduct a Cybersecurity Risk Assessment – Craig Watanabe, Kurt Nuñez
8:35 am – 9:35 am

New DOL Rule: Application of the BIC Exemption and What it Means for You – Craig Watanabe, Robert Boeche & David Sobel
9:35 am – 10:35 am

Break
10:35 am – 10:45 am

Resources for your Compliance Program – Introduction: Jack O’Hara 
10:45 – 10:55 am

CCLS wishes to thank our sponsors who provide valuable resources to our clients

  • EisnerAmper
  • Starkweather Shepley
  • Jacko Law Group, PC

How to Draft Disclosures and Market Performance Advertising to Stay Compliant – Michelle Jacko & Tina Mitchell
10:55 am – 11:55 am

Resources for your Compliance Program – Introduction: Jack O’Hara
11:55 am – 12:05 am

CCLS wishes to thank our sponsors who provide valuable resources to our clients

  • Millennium Trust Company
  • Maples Fund Services
  • Charles Schwab

Break: Box Lunches Served
12:05 am – 12:15 pm

The Importance of Technology in Compliance – Financial Tracking
12:15 pm – 1:00 pm

Effective Testing Ideas for your Annual Review – Tina Mitchell, Kurt Nuñez & Robert Conca
1:00 pm – 2:00 pm

Closing Remarks – Michelle Jacko
2:00 pm

Conference Ends

 

Please click here to register.

 

Contributing Sponsors:

sponsor-block-evite_with-nscp-ia-watch-schwab

Leave a Reply

Your email address will not be published. Required fields are marked *