Monday
January 23

5:30pm-7:00pm

Opening General Session -

Dr. Stephen Mansfield - "The Art of Leadership"

7:00pm-9:00pm

Reception with Exhibitors

Tuesday
January 24

CEO

 Compliance

Operations

IAS

 Technology

7:30am-8:30am

 Breakfast with Exhibitors

State of the Client

8:30am-9:30am

Risk: How to Serve the Growing Needs of Clients and Advisors While Managing Organizational Risk 

• Audio
• Powerpoint

Suitability & Know Your Customer - New Discussions with Clients

• Audio
• Powerpoint

Changing Needs of Investors: Articulating Fee-Based Solutions

• Audio
• Powerpoint

 Holistic Advice: Embrace Change and Succeed

• Audio
• Powerpoint

Going Truly Paperless with e-Signatures

• Audio
• Powerpoint

State of the Advisor

9:45am–10:45am

 Product Selection: Balancing Due Diligence and a Competitive Product Offering

• Powerpoint

 Municipals, Municipals, Municipals-It's All About the Advisor

• Audio
• Powerpoint

NAIC Model

• Audio
• Powerpoint

Product and Services Selection in New Regulatory World

• Audio
• Powerpoint

Development and Execution of a Unique Value Proposition

• Audio

Outsourcing to the Cloud: CRM, Portfolio Management, Performance Reporting and More

• Audio
• Powerpoint

11:00am-12:00pm

General Session -

CEO Panel Discussion

12:00pm-1:30pm   

Networking Lunch with Exhibitors

State of the Firm

1:30pm–2:30pm

Profitability: Seeing the Forest and the Trees 

• Audio
• Powerpoint

Regulatory Hot Topics - What Your Firm Needs to Know

• Audio
• Powerpoint

Efficiency of Processing

• Audio
• Powerpoint

DOL/ERISA Issues from an Investment Advisory Perspective

• Audio
• Powerpoint

Social Media and Serving Clients' Needs 

• Audio
• Powerpoint

 Managing Information Security for Cloud Computing and Mobile Devices

• Audio
• Powerpoint

A Look at the Future

2:45pm-3:45pm

Multi-Year Planning in the Face of a Changing Regulatory Environment 

• Audio
• Powerpoint

 ERISA, DOL & Fiduciary Standards - What to Expect

• Audio
• Powerpoint

Suitability Rules & FINRA Audits

• Audio
• Powerpoint

 Capitalizing on the Fiduciary Role

• Audio
• Powerpoint

   Succession Planning for our Industry: Where is the Next Generation of Independent Financial Advisors Coming From?

Top 10 Technology Trends for 2012

• Audio
• Powerpoint

4:00pm-5:15pm

General Session -

Simon Sinek - "Start with Why"

5:15pm-6:45pm

Reception with Exhibitors

Wednesday
January 25

7:30am-8:00am

Breakfast in Discussion Rooms

8:00am-12:00pm

Discussions*

*Open to broker-dealer home office employees only