Education Sessions by Category
Technology and Trading Sessions on:Monday, September 14
10:15am – 11:30am Morning Educational Sessions
| Hands-On Technology Session |
| The New Advisor Website: Introduction ◊** Lauren Wilkinson, Charles Schwab - Speaker Bio Why attend: Tour Schwab’s new advisor website to learn about the latest updates, tools and technology improvements. Session details: Explore the next generation of investment technology on Schwab’s new advisor website. Learn about timesaving tools for client and account servicing, the new and improved aggregate data views, custom groups, and data delivery. |
Back to top |
2:00pm – 3:15pm Afternoon Educational Sessions
| Leverage Technology to Help Increase Operational Productivity ◊** Adam Moseley, Charles Schwab - Speaker Bio Wade Spencer, Charles Schwab - Speaker Bio Why attend: Leveraging technology and streamlining operational processes can help you improve client service and raise productivity while lowering costs. Session details: Learn about the latest technology trends and best practices for independent advisors. Get an overview of updates to Schwab technology and find out how to implement new systems to support your business goals. |
| Hands-On Technology Session |
| The New Advisor Website: Introducing Custom Groups and Enhanced Security Administration ◊** Shawna Fowler, Charles Schwab - Speaker Bio Why attend: Understand the features Schwab’s new advisor website offers for improved security administration. Session details: Learn what’s changed on the new schwabinstitutional.com regarding online security and find out how to: • Create, manage and assign security to custom groups • Use the new security detail report • Manage access to export and management fees |
Back to top |
12:30pm – 1:45pm Early Afternoon Educational Sessions
| Hands-On Technology Session |
| The New Advisor Website: Schwab Data Delivery ◊** Marcus Doesserich, Charles Schwab - Speaker Bio Why attend: Schwab’s new website features the launch of Schwab Data Delivery, which replaces SchwabLink for file uploads. Session details: Learn how to install and set up Schwab Data Delivery, schedule automatic file downloads, and navigate the Schwab Data Delivery viewers. |
Back to top |
Tuesday, September 15
10:00am – 11:15am Morning Educational Sessions
| Hands-On Technology Session |
| Maximizing Schwab's Portfolio Rebalancer ◊** Heath Batz, Charles Schwab - Speaker Bio Why attend: Optimize your use of Schwab’s Portfolio Rebalancer—learn by exploring real-life cases and best practices. Session details: Find out how to get maximum productivity with Schwab’s Portfolio Rebalancer. This session will go into optimal tool workflow, covering rebalancing scenarios and best practices that offer efficiency to your operations and value to your firm. |
Back to top |
2:15pm – 3:30pm Afternoon Educational Sessions
| Hands-On Technology Session |
| Investment Research and Client Proposal-Generating Technology ◊** Rob Barnes, Charles Schwab - Speaker Bio Why attend: Learn how new, white-label technology from Schwab’s Investment Management Consulting Group can help you customize proposals and make informed decisions about separate account money managers and security selection. Session details: This session previews new technology, launching in 2009, for generating client proposals. Powered by Informa and using Plan Sponsor Network (PSN) and Morningstar as data sources, this technology allows you to create highly customized investment proposals for your clients. |
| Schwab Performance Technologies®: Updates and Best Practices ◊** Michael Williams, Charles Schwab - Speaker Bio Why attend: Advisors who use PortfolioCenter® or PortfolioServices™ will see the latest SPT technology enhancements and preview upcoming reporting improvements. Session details: Explore the new features of PortfolioCenter 4.45 and enhancements to PortfolioServices. Get an overview of training and consulting services, including new implementation service bundles and webcast training. Preview the reporting technology that’s currently in development and learn best practices for streamlining your daily workflow and quarter-end reporting with new tools and features that can increase your firm’s efficiency. |
Back to top |
Wednesday, September 16
8:15am – 9:30am Morning Educational Sessions
| Hands-On Technology Session |
| Navigating the Redesigned Research Workstation on Schwab Advisor Center ◊** Sharon Baxter, Charles Schwab - Speaker Bio Why attend: Get a guided walk-through of the newly redesigned research workstation on Schwab Advisor Center. Session details: Take a quick tour through the new global markets pages and learn about other new features and functionality of the redesigned site. The session offers an overview of all the commentary, tools and services available for monitoring overall market performance and researching individual securities, including stocks, exchange-traded funds and mutual funds. |
Back to top |
Sunday, September 13
5:00pm – 6:30pm Pre-Conference Session
| The Impact of the Recent Crisis on the Global Economic Environment ‡◊** Mohamed El-Erian, PIMCO, LLC - Speaker Bio Laurence D. Fink, BlackRock - Speaker Bio IMPACT 2009 will launch our first ever pre-conference session on Sunday night, with a discussion about one of the biggest issues on our minds: What’s next in the world of finance? |
Back to top |
Monday, September 14
10:15am – 11:30am Morning Educational Sessions
| Effectively Using Managed Accounts in Your Practice ‡◊** David Archer, Charles Schwab - Speaker Bio Elizabeth M. Kaplan, The St. Louis Trust Company - Speaker Bio Daniel Roe, Budros, Ruhlin & Roe, Inc. - Speaker Bio Why attend: Learn about the benefits of using managed accounts and find out how to best use them at your firm. Session details: Wealth advisory firms and multifamily offices use managed accounts to bring to their clients best-in-class investment management and the benefits of separate accounts. Learn about these benefits, the platforms and resources available to you, and how other successful advisors are using managed accounts in their practice. |
| Identifying Opportunities in Value and Growth Portfolios ‡◊** Mario J. Gabelli, CFA, GAMCO Investors, Inc - Speaker Bio Barbara G. Marcin, CFA, GAMCO Investors, Inc. - Speaker Bio Howard F. Ward, CFA, GAMCO Investors, Inc. - Speaker Bio Why attend: Learn strategies to potentially add significant alpha to client portfolios and hear suggestions for positioning portfolios for the long term. Session details: Join Mario J. Gabelli, Howard F. Ward and Barbara G. Marcin to learn about their unique investment criteria for value and growth. This session will examine the current economic cycle, where we are headed and how to select stocks in the context of the current business cycle. The speakers will highlight global consumer trends and discuss how to capitalize on them and how to position portfolios to benefit from a recovery. |
| Momentum: A Style to Substitute for Growth and Complement Value ‡◊** Cliff Asness, AQR Funds - Speaker Bio Why attend: Learn about a new passive investment style you can offer as an option to your clients. Session details: Though known to financial academics and institutional practitioners for many years, momentum is an “undiscovered style” for most investors. The presentation reviews the extensive research supporting momentum, and discusses the key virtues of momentum: it is historically a strong style viewed alone, it is correlated to but superior to growth, and it is negatively correlated and a great complement to value. A newly created family of Momentum Indices makes this powerful strategy accessible to investors. |
Back to top |
2:00pm – 3:15pm Afternoon Educational Sessions
| Differentiating Yourself as a Retirement Advisor ◊** John Blossom, Alliance Benefit Group - Speaker Bio David Davidson, Retirement Plan Services, LLC - Speaker Bio Sean Duggan, Moneta Group - Speaker Bio Why attend: Get insight from advisors who have distinguished themselves in the retirement marketplace. Session details: A panel of advisors with successful retirement businesses will share best practices for standing out in a crowded market. Panelists will discuss: • Fiduciary vs. nonfiduciary role of an advisor • Required industry knowledge and networking for advisors • Practice logistics (building the offering, staffing, etc.) • Technology services |
| Managed Futures: The Institutional Investor's Perspective ‡◊** Thomas J. O'Donnell III, Newedge USA, LLC - Speaker Bio Why attend: Learn more about managed futures and their potential for non-correlated portfolio performance. Session details: Dispel myths about managed futures and find out how to use them to build better-performing portfolios. Compare the diversification and performance of managed futures with traditional investments and other hedge fund strategies. Led by a former public pension fund director, this session will give you the institutional investor’s perspective on this type of nontraditional investment. |
| Outlook for Global Inflation and International Fixed Income Investments ‡◊** David Wakefield, Mondrian Investment Partners Limited - Speaker Bio Why attend: Hear Mondrian’s views on the inflation outlook in the U.S. and the world, and on how that outlook affects international fixed income investments. Session details: Changing market dynamics have impacted central bank rates and influenced government action, causing some investors concern about inflation in the U.S. and abroad. Learn about the global inflation outlook, how it affects value in international fixed income markets, and how you can apply that knowledge to build well-diversified portfolios. At this session, discuss: • Perspectives on global inflation • Why the current business cycle suggests low inflation or deflation • Where to find value in international fixed income markets • A well-diversified international fixed income portfolio |
| Schwab Center for Financial Research: Research and Resources for RIAs ◊** Jim Peterson, Charles Schwab - Speaker Bio Why attend: Learn about Schwab’s research groups and the resources that back managed-account solutions. Session details: Take an inside look at the Schwab Center for Financial Research (SCFR) philosophy, investment process, analysis and decision-making tools. During this session, you’ll hear a quick overview of SCFR’s research process for separately managed accounts (SMA) and get a thorough understanding of their research on predictive characteristics of SMA performance. Compare research results from SMAs to the results for mutual funds. You’ll also learn about resources available to registered investment advisors. |
Back to top |
12:30pm – 1:45pm Early Afternoon Educational Sessions
| Allocating to Asia in Today's Markets ‡◊** Jodi Borkowitz, Matthews International Capital Management, LLC - Speaker Bio David S. Fisher, SignatureFD, LLC - Speaker Bio Robert Horrocks, PhD, Matthews International Capital Management, LLC - Speaker Bio Dan Trosch, Fortigent, LLC - Speaker Bio Debra L. Wetherby, Wetherby Asset Management - Speaker Bio Why attend: Learn strategies and approaches for investing in Asia. Session details: Examine Asia Pacific in a global context and find out what you can expect to see in the region over the long term. You’ll assess your clients’ exposure in Asia, and cover strategies for investing in the region. During the session, you’ll hear from Asia investment specialists from Matthews International Capital as well as a panel of advisors who will share insights into various approaches to allocating in Asia. |
| Becoming a Retirement Advisor ◊** Grant Arends, Alliance Benefit Group - Speaker Bio Lindsey Black, MBM Advisors, Inc. - Speaker Bio Nelson Chia, WESPAC - Speaker Bio Andrew Gorder, Schwab - Speaker Bio Why attend: What are the opportunities for advisors in the retirement space? Session details: If you’re considering getting into the retirement business, this session will help you understand how to add retirement planning to your practice. Find out about roles and responsibilities, building your practice and compensation models. Topics covered include: • Plan and participant advice • Out-of-plan advice • Investment selection • Employee education • Client reporting By the end of the session, the advisor will be able to answer, “Do I want to be in this business?” |
| Real Estate: Is Now the Right Time to Invest? ‡◊** Nicholas Schorsch, American Realty Capital - Speaker Bio Why attend: Find out if you should be adding real estate investments to your clients’ portfolios. Session details: What challenges and opportunities are presented by the current real estate market? Real estate investments can preserve wealth, furnish income and allow for capital growth. Mr. Schorsch will explain factors to consider when investing in real estate. Learn tips for designing the right type of real estate investment, and methods for making property investments tax efficient. |
Back to top |
Tuesday, September 15
10:00am – 11:15am Morning Educational Sessions
| A Total Wealth View: Smoothing Out the Ups and Downs of Investing ‡◊** Kevin Kneafsey, Barclays Global Investors - Speaker Bio Why attend: Taking a holistic approach to asset management helps your clients avoid extreme roller-coaster rides when the market dives. Session details: At this session, examine ways to avoid the extreme swings of the market with a more diversified approach. Look beyond asset management to the sources and uses of assets, and discover how this perspective can lead to a surprising conclusion about life-cycle investing. Through scenario analysis, explore the importance of focusing on the total wealth outcome. |
| Challenges Facing Individual Trustees ‡◊** Charles D. Fox IV, McGuireWoods, LLP - Speaker Bio Why attend: Gain the knowledge you need to help your firm and your clients when acting as personal trustee. Session details: Learn best practices for serving as trustee or successor trustee. Find out how to successfully reduce risk while serving your clients and growing your firm. Also discover the opportunities and challenges presented by the uncertain status of tax laws. This session will include discussion of the duties and challenges of the trustee relationship and approaches for minimizing common mistakes. |
| Evolution or Revolution: Understanding the Changing Fixed Income Markets ‡◊** Curtis Arledge, BlackRock - Speaker Bio Why attend: Gain perspective from the front lines of the credit crisis, and discover sectors with potential value. Session details: Analyze the issues and opportunities with fixed income sectors. Learn how the sectors have evolved amid government initiatives, and look ahead to what may be coming in the next year. Discuss the securitized asset markets that have been at the center of this crisis, and find strategies in fixed income that can help your clients. |
Back to top |
12:45pm – 2:00pm Morning Extended Educational Sessions
| Perspectives on the Future of Money Funds ‡◊** Peter G. Crane, Crane Data LLC - Speaker Bio Martin Flanagan, Invesco - Speaker Bio Randy Merk, Charles Schwab - Speaker Bio Paul Schott Stevens, Investment Company Institute - Speaker Bio Why attend: Discover the latest on money market mutual fund regulations and get the results and recommendations from the ICI Working Group’s report. Session details: Review the SEC's proposed amendments to money fund regulation, the ICI’s wide-ranging study of money market funds and recent market events. Hear from ICI working Group members and money fund experts on how industry participants and regulators intend to make money market funds more resilient. Don’t miss the opportunity to listen in on a lively discussion of the strengths, weaknesses and future of money market fund regulation. |
| The Impact of Obama's Green Initiatives on Investing ‡◊** Mark Fulton, DB Climate Change Advisors - Speaker Bio Becky Quick, CNBC - Speaker Bio Margo Thorning, American Council for Capital Formation - Speaker Bio Greg Valliere, Washington Research Group - Speaker Bio Why attend: Join a panel discussion covering the current state of green energy investing. Discover what President Obama’s emphasis on energy and the environment may mean for investors. Session details: This session will explore recent policy developments from Washington this year that have impacted the alternative energy arena. President Obama’s plan to chart a new energy future embraces alternative and renewable energy, reducing our dependence on foreign oil and addressing the global climate crisis—find how it may also offer growth opportunities for your clients’ portfolios. |
Back to top |
2:15pm – 3:30pm Afternoon Educational Sessions
| Equity Investing: Two Perspectives ‡◊** Harry Cohen, ClearBridge Advisors - Speaker Bio Bill Miller, Legg Mason Capital Management - Speaker Bio Liz Ann Sonders, Charles Schwab & Co., Inc. Why attend: Gain unique insight on the equity market environment from two industry veterans. Session details: What lessons can we learn from market history? Put the events of the past year in context, examining them with a historical, behavioral and psychological perspective. Then, look at key opportunities in portfolio construction, and examine two approaches to generating alpha. Learn about the equity market environment and why equities may be a good option right now. Come away with ideas for communicating these investment approaches to clients, particularly those most affected by the tumultuous markets of the last year. |
| Investing for Nonprofit Endowments, Foundations and Donor-Advised Funds ‡◊** Kathryn Hall, Hall Capital Partners LLC - Speaker Bio Kim Wright-Violich, Schwab Charitable - Speaker Bio Why attend: Philanthropic vehicles account for over $700 billion in assets—learn how to work with this important sector. Session details: Managing assets for nonprofit endowments, foundations and donor-advised funds requires a unique investment management approach with strong fiduciary oversight. Learn about the role of the investment policy statement, governance and the investment committee. Find out how to meet short-term needs while maintaining or growing long-term value, and examine the role of alternative assets and derivatives in endowment portfolios. |
| Managing Portfolios in Difficult Markets ‡◊** Erick Goralski, Deutsche Bank Securities, Inc. - Speaker Bio Russ Koesterich, Barclays Global Investors - Speaker Bio Becky Quick, CNBC - Speaker Bio Scott Wolle, Invesco Aim - Speaker Bio Why attend: Hear about innovative investment solutions suitable for the current market environment. Session details: This bear market has caused many investment professionals to rethink their approach to asset allocation and seek more conservative equity strategies. At this session, discuss the important consequences of a permanent shift in the risk tolerances of the individual investor. Explore hedging strategies for long-only portfolio holdings. Discuss principal protection, asset allocation and top-down strategies for conservative equity investors. |
Back to top |
Wednesday, September 16
8:15am – 9:30am Morning Educational Sessions
| Capitalizing on Personal Trust Trends ‡ ◊** Jeff Scroggin, Scroggin & Company P.C. - Speaker Bio Why attend: Find out how you could increase your assets under management by effectively managing trust assets and understanding pending estate tax legislation. Session details: This practical presentation will outline current trends and issues, marketing opportunities and the investment traps to be aware of in the fluid environment of trust management. The session focuses on: • The move away from traditional trust company investment management • How your firm can obtain trust experience • Developing partnerships with estate planners • 2010 estate tax legislation update |
| Expanding the Scope of Your Retirement Practice ◊** Robert Blair, Retirement Alliance, Inc. - Speaker Bio Stephen Cucchiaro, Windward Investment Management - Speaker Bio Randy Mitchell, Milliman, Inc. - Speaker Bio Why attend: Find ways to expand upon the success of your investment strategies, developing new revenue streams through the retirement market. Session details: Focus on the opportunities your retirement practice provides to develop investment services targeted toward an existing client base or new prospects. Hear different perspectives on collective trust funds, custom model portfolios and other strategies. This session will cover the pros and cons of each, with considerations and logistics from panelists who have set up and manage portfolios for retirement plans today. |
| Option Hedging and Income Generation ‡◊** Randy Frederick, Charles Schwab - Speaker Bio Why attend: Find out how options provide another way to generate income and lower overall risk in clients’ portfolios. Session details: Market volatility and risk will likely remain elevated in the coming year. Discuss various option-hedging strategies—including covered calls, protective puts and collars—that can help mitigate risk and generate income. |
| Planning with Roth IRAs ‡◊** Louis Mezzullo, Luce Forward - Speaker Bio Why attend: Stay on top of the latest information in retirement planning. Session details: With the removal of the adjusted gross income limits in 2010, your clients may be able to convert IRAs to Roth IRAs. Find out who should make the switch and who should wait. |
Back to top |
Monday, September 14
10:15am – 11:30am Morning Educational Sessions
| Pricing Practices in an Evolving Ultra-Wealth Marketplace ◊** John Benevides, Family Office Exchange - Speaker Bio Why attend: Learn how to manage your firm's pricing to align the services you provide with your clients’ perceived value. Session details: Every advisor desires to be paid full value for the advice they provide. This session provides a comprehensive review of proven pricing strategies, including: • Concrete, comparative data on pricing in a multifamily office/UHNW environment • Innovative approaches to pricing in today’s challenging financial environment • Case studies featuring lessons learned by leading practitioners |
Back to top |
10:15am – 12:15pm Morning Extended Educational Sessions
| Building Credibility with Clients and Centers of Influence ***∞± Ken Haman, AllianceBernstein - Speaker Bio Why attend: Establish referral relationships that can help you take advantage of the unprecedented opportunities created by volatile markets. Session details: Learn how to build and expand your credibility in your market through the use of a capital-markets outlook. Examine a model for developing and presenting a market perspective, integrating it into existing relationships, and reaching out to centers of influence such as CPAs and attorneys. You’ll leave the session with actionable ideas for building more effective and collaborative relationships. |
| Defining a Strategy to Navigate the Emerging Environment ***∞ Mark Palmer, Charles Schwab - Speaker Bio Why attend: Learn how to develop a strategic plan that can help your firm capitalize on new opportunities for years to come. Session details: With the business environment shifting and consumer confidence in flux, what is your firm’s plan for the future? The direction you set for your firm now will determine when and how you can take advantage of arising opportunities. In this session, exchange ideas with peers and discuss ways to develop a clear strategy and plan of action for your firm. |
| Ethics in Today's Investment Environment ***∞± Richard Stone, Salient-Friedman Wealth Management, LLC - Speaker Bio Why attend: Examine updated ethics standards and their implications on the way you do business. Session details: Review terminology and rules from the updated Standards of Professional Conduct. This session will also touch on what led up to the infamous Merrill Rule, including what may lie ahead for FINRA and the SEC. Despite all of the changes in the industry, you will see that the principles of financial planning ethics remain unchanged. This session will discuss common practices in wealth management and the need for advisors to go beyond industry expectations. Examine what it means to use your moral compass to fulfill your fiduciary obligation to clients and leave with a greater understanding of the need for sound ethics in the shifting financial environment. This session qualifies for the mandatory two hours of ethics training required for certified financial planners. |
Back to top |
2:00pm – 3:15pm Afternoon Educational Sessions
| Internal Compliance Reviews: Identifying Problems ◊** Keith Marks, Ascendant Compliance Management - Speaker Bio Why attend: Learn about available tools and methods for tying together the business practices of your firm with proper disclosure and compliance testing. Session details: Integrate disclosure and compliance testing—including policies and procedures, a code of ethics and testing protocols to demonstrate effectiveness—into your business practices. This session will help you understand the data available at your firm and the compliance insight you can mine from it. Get simple techniques for demonstrating to regulatory examiners that you have investigated key business areas. The session will focus on: • Code of ethics and personal trading • Trading strategies and allocations • Smart email reviews and insider trading • Controls over custody |
| Recruiting Advisors with Books of Business ◊** Bob Ciullo, Charles Schwab - Speaker Bio Kelli Cruz, Charles Schwab - Speaker Bio Gabriel Garcia, Charles Schwab - Speaker Bio Neal Simon, Highline Wealth Management - Speaker Bio Why attend: The current market environment has created an opportunity to recruit advisors with books of business who are looking for a change from their current model. Find out if this option is practical for you. Session details: Hiring an advisor with an existing practice may help you reach your growth goals. But finding professionals who match your firm’s culture and establishing a clear plan for bringing them on board is critical. At this session, you’ll examine tools that help determine whether a candidate is a good fit and evaluate how to approach recruiting. Explore financial considerations for compensation and onboarding, and get strategies for transitioning a new advisor into your firm. |
Back to top |
12:30pm – 1:45pm Early Afternoon Educational Sessions
| Building Organic Growth Through Client Retention and Referrals ◊**‡ Gabriel Garcia, Charles Schwab - Speaker Bio Why attend: Set the stage for retention and referrals with every client interaction. Session details: By strategically and consistently reinforcing your value to clients, you can earn their loyalty and gain referrals at a time when your competitors may be losing market share. At this session, when investors need more reassurance and guidance than ever, learn to engage clients through proactive, regular communications. Find out how to establish a culture of referrals that helps your firm grow organically. |
| Increasing Your Firm's Productivity ◊** J. Scott Slater, Charles Schwab - Speaker Bio Why attend: Learn how to maximize productivity across your practice to improve profitability and growth potential. Session details: Best Managed Firms* have learned how to focus more time on serving clients and attracting prospects by improving their productivity in all areas of their business. These firms have achieved up to 75 percent higher revenue per professional than other firms. Discover how you can measure productivity, develop and implement processes and use your technology to get more accomplished with your current resources. You’ll learn how to create a scalable organization and improve your performance as a business. * Source: 2009 RIA Benchmarking Study. Best-Managed Firms are the top 20% of RIA firms as measured by profitability, productivity and revenue growth. |
| Motivating and Retaining Your Top Talent ◊** Cam Marston, Generational Insight - Speaker Bio Why attend: Learn how to engage, motivate and retain employees in a challenging economic environment. Session details: Find out what motivates your employees and learn ways to communicate effectively with employees of different generations. This session will identify tools to help you manage in an economic downturn and help you become the boss your employees want to serve. |
Back to top |
Tuesday, September 15
10:00am – 11:15am Morning Educational Sessions
| Mergers, Acquisitions and Succession Planning in the New Market Environment ◊** David DeVoe, Charles Schwab - Speaker Bio Why attend: The changing complexion of mergers and acquisitions (M&A) in today’s economic environment has affected many advisory firms. Understanding M&A basics within the context of evolving markets will help your firm build strategic, effective transactions. Session details: Identify the building blocks of successful M&A. Learn how current economic challenges have changed M&A strategy, affected transition planning and created new opportunities for your firm. Find out how to use M&A to accelerate growth, improve profitability and plan for your firm’s succession. |
| The Instincts of Leadership ‡ ** Scott Aylward, The Persimmon Group - Speaker Bio Pattye Moore, The Persimmon Group - Speaker Bio Why attend: Perfect your leadership skills by learning to trust your instincts. Session details: Learn to use your everyday instincts to guide your decisions as a leader. Explore ways to engage employees more effectively and gain loyalty from both your team and client base. At this session, discover how to perfect your ability to lead your organization by trusting your personal instincts, even through tough economic times, to enhance one of your firm's most valuable assets: your employees. |
Back to top |
10:00am – 12:00pm Morning Extended Educational Sessions
| Building Credibility with Clients and Centers of Influence ***∞± Ken Haman, AllianceBernstein - Speaker Bio Why attend: Establish referral relationships that can help you take advantage of the unprecedented opportunities created by volatile markets. Session details: Learn how to build and expand your credibility in your market through the use of a capital-markets outlook. Examine a model for developing and presenting a market perspective, integrating it into existing relationships, and reaching out to centers of influence such as CPAs and attorneys. You’ll leave the session with actionable ideas for building more effective and collaborative relationships. |
| Defining a Strategy to Navigate the Emerging Environment ***∞ Mark Palmer, Charles Schwab - Speaker Bio Why attend: Learn how to develop a strategic plan that can help your firm capitalize on new opportunities for years to come. Session details: With the business environment shifting and consumer confidence in flux, what is your firm’s plan for the future? The direction you set for your firm now will determine when and how you can take advantage of arising opportunities. In this session, exchange ideas with peers and discuss ways to develop a clear strategy and plan of action for your firm. |
| Ethics in Today's Investment Environment ***∞± Richard Stone, Salient-Friedman Wealth Management, LLC - Speaker Bio Why attend: Examine updated ethics standards and their implications on the way you do business. Session details: Review terminology and rules from the updated Standards of Professional Conduct. This session will also touch on what led up to the infamous Merrill Rule, including what may lie ahead for FINRA and the SEC. Despite all of the changes in the industry, you will see that the principles of financial planning ethics remain unchanged. This session will discuss common practices in wealth management and the need for advisors to go beyond industry expectations. Examine what it means to use your moral compass to fulfill your fiduciary obligation to clients and leave with a greater understanding of the need for sound ethics in the shifting financial environment. This session qualifies for the mandatory two hours of ethics training required for certified financial planners. |
Back to top |
12:45pm – 2:00pm Morning Extended Educational Sessions
| Changes in the Regulatory Environment ‡◊** Gary Watkins, ACA Compliance Group - Speaker Bio Why attend: This session offers advisors an opportunity to review the latest changes in the SEC examination process. Session details: The recent turmoil in the financial industry has led to a spate of changes in the way SEC examinations are handled. This session will explore: • The SEC’s new regulatory priorities • How advisors can manage an SEC examination • The post-Madoff fate of the Advisers Act Custody Rule • Discussion of top deficiencies SEC investigators find during advisor examinations |
Back to top |
2:15pm – 3:30pm Afternoon Educational Sessions
| Attracting Clients with Family Offices Services ◊** Jay Burstell, PricewaterhouseCoopers LLP - Speaker Bio Why attend: Delve into the changing needs of the most sought-after client, the ultra-high-net-worth investor. Session details: This session will cover global trends in wealth distribution, the growth of family offices and the competitive landscape. Gain a deeper understanding of the mindset of ultra-high-net-worth clients and of their demographic and geographic patterns. |
| Protecting Your Practice with Ongoing Compliance and Risk Management ‡◊** Thomas D. Giachetti, Stark & Stark - Speaker Bio Why attend: Find out the myriad ways the scope of SEC examination issues is growing more complex. Session details: Discuss strategies that could protect your firm from an adverse regulatory decision or client litigation by treating compliance as an ongoing process. This session will address vital practice protection issues in an ever-changing regulatory and business environment. |
Back to top |
Wednesday, September 16
8:15am – 9:30am Morning Educational Sessions
| Exploring The Social Networking and Media Landscape ** ◊ John Stone III, Revenue Architects, LLC and goodasitgets Why attend: Find out if you are ready to join the digital conversation. Session details: New media and social networks are accelerating brand awareness and audience engagement. As your clients increasingly integrate these new media channels into their everyday lives, when is the time right for you to join the conversation? At this session, we will review the media landscape, including Facebook, LinkedIn, Plaxo, Twitter and other online communities. Find out how these new channels can help advisors engage clients while increasing visibility and awareness. |
| Professional Designations in Your Practice ◊** Marilyn Capelli Dimitroff, Capelli Financial Services, Inc - Speaker Bio Dede Pahl, Investment Management Consultants Association - Speaker Bio Tom Robinson, CFA Institute - Speaker Bio Why attend: Take professional development to the next level by learning how the major designations in the financial advisory industry—CIMA, CPWA, CFP, CFA and CIPM—can benefit your firm. Session details: Find out which professional designations are most appropriate for your firm and individual staff members, what it takes to achieve and maintain these credentials, and how they can enhance your daily practice and bottom line. |
Back to top |
|