We will offer optional onsite vendor due diligence at 8:30 am on Wednesday, June 17. The conference will take place from noon on Wednesday, June 17, through noon on Thursday, June 18.
Download AgendaFairview, LLC
1330 Saint Mary’s Street, Suite 400 Raleigh, NC 27605
Onsite Vendor Due Diligence (optional) | 8:30 am – 10:00 am
Presenters: Frank Watson, Manning Peeler
Coffee and light bites will be provided. Transportation will be provided to and from onsite vendor due diligence.
100 Woodland Pond Drive Cary, NC 27513
Arrival, Lunch | 11:00 am – Noon
Introductory Remarks | 11:45 am – Noon
Presenter: Frank Watson
AI Uses and Best Practices | 12:05 pm – 12:45 pm
Presenters: Frank Watson, Madison Dewey, C.F. Watson
As AI usage continues to rise, so do cybersecurity concerns. The team will discuss common uses and address common questions RIAs have regarding AI usage.
Break | 12:45 pm- 1:00 pm
Keynote: Shawn Ishler/Conflict Resolution | 1:00 pm – 2:30 pm
Presenter: Shawn Ishler, Bartell & Bartell
Shawn Ishler, Executive Director of Bartell & Bartell, will facilitate a tailored, interactive workshop on conflict resolution. You will gain practical guidance on how to get the most out of conflict, based on your unique style and temperament.
Break | 2:30 pm – 2:45 pm
Navigating Cybersecurity Scenarios | 2:45 pm – 3:15 pm
Presenters: Jeremy McCamic, Madison Dewey
During this presentation, presenters will discuss cybersecurity-related scenarios, including step-by-step guidance from both a security and regulatory standpoint.
Tabletop Exercises | 3:20 pm – 4:15 pm
Presenter: Ellen Harvin
Each table will participate in interactive exercises on common compliance challenges.
Closing Remarks | 4:15 pm – 4:30 pm
Presenter: Frank Watson
Break/Regroup | 4:30 pm – 6:00 pm
Transportation Pick up | 6:00 pm
Happy Hour/Dinner | 6:30 pm – 9:30 pm
223 S West St., Ninth Floor, Raleigh 27603
Breakfast | 8:00 am – 9:00 am
SEC Exam Process + Enforcement | 9:00 am – 10:00 am
Presenters: Andrew Walsh, WilmerHale; Jeremy McCamic
SEC Exam Process + Enforcement Presenters: Andrew Walsh, WilmerHale; Jeremy McCamic
Attorney Andrew Walsh, who previously served as an attorney in the SEC’s Division of Examinations, will walk through the examination process and enforcement actions, and provide an update on SEC Exam trends.
Break | 10:00 am – 10:05 am
New Developments | 10:05 am – 11:00 am
Presenters: Jeremy McCamic, Frank Watson
Updates on new and emerging technology and trends, such as prediction markets, crypto, and 401k alternative investments.
Closing Remarks | 11:00 am – 11:15 am
Presenter: Frank Watson
Lunch/Grab n Go | 11:15 am – Noon
Conclude | Noon
