Agenda

Re-Defining a Hands-On Experience

Exclusive Opportunities to Learn

No need to take feverish notes or try to remember every strategy you heard, technique you learned, and recommendations you gathered from industry experts. At the BasisCode Compliance Consortium, not only do attendees have access to exclusive takeaways from our sessions post-conference, they also have access to in-person Q+As with our experts during the day – with chances to implement learnings on the spot.

Choose From Two Unique Tracks

Uniquely designed to offer two programming tracks. Attendees can choose to join the Industry Conference Track, which focuses on educational presentations designed to tackle your toughest compliance challenges. In the BasisCode User Track, attendees can focus on how to apply best technology practices to your own programs using the BasisCode Compliance™ platform.

BasisCode User Conference

Industry Conference

General (ALL)

Monday, December 6, 2021

9:00 AM - 1:00 PM (ET)

Registration

BasisCode Pre-Conference Workshop: Advanced Automations

Rick Atkinson,

BasisCode Compliance

Tackle advanced concepts like APIs and WebHooks designed to best enable you to integrate and automate the way you work

12:00 PM - 1:00 PM (ET)

Lunch with Platinum & Gold Sponsors

1:00 PM -2:15 PM (ET)

Welcoming Remarks & Keynote Address

Carlos Guillen,

BasisCode Compliance

 

Brian Hahn, 

MTradecraft

Keynote Address: Cybersecurity Today’s Threats and How to Protect Your Organization with Brian Hahn. ethical hacker and President of MTradecraft

2:30 PM -3:45 PM (ET)

BasisCode 101: Essentials of Essentials

Louis Giannini,

BasisCode Compliance

Julia Gorsky,

BasisCode Compliance

General Skills Training: Emphasis on successful applications of Testing, Certifications and Risk Assessments

Current Outlook: How to Prepare for a Regulatory Exam

Jon Wowak, 

Cipperman Compliance

 

Rick Nummi,

MGL Consulting

Receiving notice of a regulatory exam inquiry is inevitable so ensuring your team’s preparedness is key.

This session will break down how to prepare and what to expect including:

  • Understanding and responding to the initial document requests
  • Preparing your staff
  • Conducting mock interviews
  • Considerations when responding to follow up inquiries, exit interviews and potential deficiency letters

4:00 PM -5:15 PM (ET)

BasisCode 201: Advanced Applications

Greg Trotta,

BasisCode Compliance

Louis Giannini,

BasisCode Compliance

Advanced Skills Training: Emphasis on successful applications of BasisCode related to your Code of Ethics; supervising employee conflicts, personal trading, and protecting MNPI

The Fundamentals of Effective Policy Design & Testing

Hank Sanchez,

Bates Compliance 

 

Mimi LeGaye,

MGL Consulting

Overcome the “where to begin” complex with this primer on the fundamental considerations and elements of policy design and how it is different from a mock exam.

Then pivot to understand how to effectively implement and adequately test different policies (compliance, operations, trading, investment committee etc.) for effectiveness.

6:00 PM (ET)

Networking Reception & Dinner

Tuesday, December 7, 2021

6:00 AM - 7:00 AM (ET)

Socially Distanced Sunrise Beach Yoga

6:30 AM - 7:30 AM (ET)

Networking Breakfast

7:30 AM - 8:45 AM (ET)

BasisCode 101: Essentials of Essentials

Louis Giannini,

BasisCode Compliance

Julia Gorsky,

BasisCode Compliance

General Skills Training: Emphasis on successful applications of Forms and Certifications for unexpected use cases.

Developing Successful Strategies for the Annual Review + FINRA 3120/3130 Processes

Jon Wowak,

Cipperman Compliance 

 

Mimi LeGaye, 

MGL Consulting

Demystify the Risk Assessment, Annual Review + 3120/3130 lifecycles with this practical blueprint for effective management and execution.

During this session we will consider:

  • testing approaches
  • conducting and internal review vs. retaining a third party
  • establishing the scope and timing
  • proper report formation and delivery

9:00 AM - 10:15 AM (ET)

BasisCode 201: Advanced Applications

Greg Trotta,

BasisCode Compliance

Louis Giannini,

BasisCode Compliance

Advanced Skills Training: Emphasis on On-Boarding and Governance & Audit Manager functions

Should Have, Could Have, Would Have: Outsourcing Compliance

Hank Sanchez,

Bates Compliance 

 

The decision to outsource is unique to each firm. Explore key considerations to poise your partnership for success, including:

  • how to define the scope
  • how to secure budget
  • domestic vs. international outsourcing considerations
  • documenting scope and deliverables

10:30 AM - 11:45 AM (ET)

Effective Management + Supervision of Employee Conflicts and Outside Activities

To Be Announced

Navigating an increasingly accepted teleworking environment has presented new challenges with managing outside activities, employee conflicts and effectively implementing firm’s supervisory procedures. Explore key areas of vulnerability, lessons learned, and practical applications of compliance technologies to automate and increase data/reporting integrities. 

11:45 AM - 1:00 PM (ET)

Box Lunch & Private Breakouts

Join us for lunch and participate in a privately hosted session with one of our Platinum sponsors.

Special Session: for Clients & Prospects

Special Session: for Clients & Prospects

Special Session: for Clients & Prospects

1:15 PM - 2:30 PM (ET)

BasisCode User Insights: Development Pipeline

Rick Atkinson,

BasisCode Compliance

Greg Trotta,

BasisCode Compliance

Louis Giannini,

BasisCode Compliance

You speak and we listen. Join us to learn more about the direction of the BasisCode Compliance development pipeline and help inform future enhancements, best applications and functional requirements.

The New Age of Advertising

Janice Kitzman,

Cascade Compliance

 

Rhonda Davis, 

Bates Compliance

Few would argue that the modernization of the marketing and advertising rules has come too soon… 

In this session we will explore:

  • Status of the implementation of the new rule
  • Summary of Notices and guidance from Regulators
  • Training considerations for staff, advisors and supervisors
  • Design and implementation of policies and procedures

2:45 PM - 4:00 PM (ET)

BasisCode User Insights: For Consultants

Greg Trotta,

BasisCode Compliance

Louis Giannini,

BasisCode Compliance

Ensure your team is optimizing its ability to scale and deliver its services to your key relationships. Explore best practices for leveraging BasisCode as a consultancy.

Cybersecurity: Today’s Examination Priorities and Best Practices Surrounding Technology Governance

Mimi LeGaye, 

MGL Consulting

Explore current cyber examination priorities, key considerations related to technology governance and best practice strategies to apply to your testing and risk framework. 

4:00 PM - 5:00 PM (ET)

Closing Remarks

Learn

Implement

Connect

Contribute