34th annual fiduciary risk management conference · 2020-01-06 · 34th annual fiduciary risk...

SCOTTSDALE, ARIZONA MAY 3-7, 2020

WWW.THEFIRMA.ORG

34TH ANNUAL FIDUCIARYRISK MANAGEMENT CONFERENCE

ACA Compliance GroupArgent Fiduciary Consulting ServicesBroadridgeDavis Kinard & Co., PCDeloitte & Touche LLPEisnerAmper, LLPErnst & YoungFederated InvestorsFiduciary Education Center, LLCGlobeTax Services, Inc.

Groom Law GroupInforma Investment SolutionsInfovisa, Inc.InnovestITM/TwentyFirst Jackson Private Wealth & Trust Nth Degree Financial Solutions, LLCPDS CompaniesPricewaterhouseCoopers, LLPProtiviti

ProxytrustRICThe Revzon Consulting GroupSpardata/Unique Asset PartnersTEAM Risk Management StrategiesThomson ReutersTrusts & EstatesTrust Imaging Systems, Inc.Trust Management NetworkWolters Kluwer

Current & Recent Sponsors

Partner Organizations

Organizations Represented at the 2019 National Conference

American Bankers Association (ABA)Association of Certified Fraud Examiners (ACFE)

Association of Certified Anti-Money Laundering Specialist (ACAMS)Campbell University/ Trust Education Foundation, Inc.

Cannon Financial Institute, Inc.Securities Industry & Financial Market Association - Internal Auditors Society (SIFMA/IAS)

Alerus FinancialAmarillo National BankArkansas State Bank DepartmentAssociated BankBaker Tilly Virchow Krause, LLPBancorpSouthBank of AmericaBank of HawaiiBankers TrustBB&TBBVA CompassBNC National BankBNY MellonBOK FinancialBroadway National BankBrown Brothers Harriman Trust Company, NACA Dept of Business OversightCadence Bank, NACapital Group CompaniesCentennial BankCentral National BankCIBC Bank USACitigroupCitizens Financial GroupCity National BankCommunity Trust BankComptroller of the CurrencyCorrection Officers’ Benevolent AssociationCOUNTRY FinancialCrowe Horwath LLP

Deloitte & Touche, LLPDeseret Trust CompanyEdward JonesESL Investment Services, LLCFDICFederal Reserve Bank of ChicagoFederal Reserve Bank of ClevelandFederal Reserve Bank of RichmondFifth Third Bank, N.A.First American Trust, FSBFirst Bankers Trust ServicesFirst Financial TrustFirst Foundation BankFirst Interstate BankFirst Mid Bank and TrustFirst National Bank of Fort SmithFirst National Bank of OmahaFirst Republic BankFirst State BankFISFNB Wealth ManagementFrost Bank, N.A.Godfrey & Kahn, S.C.Greenleaf TrustHeartland Financial USA, Inc.Hills Bank and Trust CompanyHoosier Trust CompanyHSBC Bank USA, NAHuntington National BankIndiana Dept of Financial InstitutionsIntegrity Trust CompanyINTRUST Bank

Iowa Division of BankingJohnson Financial GroupJPMorgan ChaseKropschot Consulting PartnersLegacy Trust CompanyM&T BankMainStreet AdvisorsMB Financial Bank, NAMembers Trust CompanyMississippi Dept of Banking & Consumer FinanceMissouri Division of FinanceMutualBankNational Advisors Trust CompanyNC Office of the Commissioner of BanksNewport Trust CompanyNewTower Trust CompanyNorth Carolina State Employees’ Credit UnionNorthwestern MutualOhio Division of Financial InstitutionsOld National Wealth ManagementOld Point TrustPAi Trust CompanyPeak Trust CompanyPNC BankRaymond James FinancialRenasant BankRockland Trust Co.RSM US LLPS.R. Snodgrass, P.C.

Sandy Spring BankSecurian Trust CompanySheshunoff Consulting + SolutionsSouth Dakota Division of BankingSouth State BankSoutheastern Trust CompanySunTrustSynovus Trust CompanyTCV Trust & Wealth ManagementTD AmeritradeTexas Department of BankingThe First National Bank in Sioux FallsThe Glenmede Trust CompanyThe National Bank of IndianapolisThe Private Trust Company, NAThe Revzon Consulting Group, LLCTolleson Private BankTrust Company of the SouthTrustmark National BankUnion Bank & TrustUS BankUSAAVirginia Bureau of Financial InstitutionsWashington State Dept of Financial InstitutionsWashington Trust BankWells FargoWhittier Trust CompanyZions Bancorp

SUNDAY, MAY 3Workshop Check-in 11:30 am - 1:00 pmPre-Conference Workshops 1:00 - 4:00 pmConference Check-in 4:30 - 6:00 pmNew Attendee/New Member Social 6:30 - 7:30 pm

MONDAY, MAY 4Late Conference Check-in 7:30 - 8:00 amGeneral Sessions 8:00 am - 12:00 pmLuncheon 12:00 - 1:00 pmBreakout Sessions 1:00 - 4:30 pmRoundtable Sessions 4:45 - 5:45 pmWelcome Reception 6:30 - 8:30 pm

TUESDAY, MAY 5General Sessions 8:00 - 10:15 amBreakout Sessions 10:30 am - 12:45 pmIn-Conference Seminars 2:30 - 4:30 pm(Lunch on your own)

WEDNESDAY, MAY 6General Session 8:00 - 9:00 amBreakout Sessions 9:15 - 11:30 amLuncheon and FIRMA Annual Membership Meeting 11:45 am - 1:15 pmBreakout Sessions 1:15 - 4:45 pm

THURSDAY, MAY 7General Sessions 8:00 - 10:15 amRoundtable Sessions 10:30 - 11:30 amAdjourn 11:30 am

CONFERENCE SCHEDULETo Our Fiduciary Colleagues – Our unique

opportunity...Our fiduciary and investment risk industry

continues to face unprecedented responsibility to focus upon risk management as a cohesive team and to reshape fiduciary mandates across all products and services.

FIRMA’s 2020 outstanding group of Conference sessions and speakers, displayed in this brochure, has been selected specifically by your peers as not-to-miss topics.

To our valued fiduciary audit, compliance, and risk professionals—FIRMA proudly and steadfastly recognizes our pledge to bring to you the most current and in-depth industry issues that define, strengthen through understanding, and distinguish your critical roles.

To the Business Line / First Line of Defense–FIRMA invites you to join us for state-of-the-industry business topics, including a special Trust Executive Session. Emphatically, FIRMA is the premier industry source for vital sharing of fiduciary risk management topics with audit, risk/compliance, and regulatory professionals. Never before has strategic cross-functional risk management been so intensely required and regulated.

We believe our 2020 Agenda is unequaled in value over a five-day period. Come engage with us and our expert speakers – learn, confirm, surpass, and network. Gain a distinct advantage within the fiduciary oversight industry.

I urge you to seize the opportunities in this brochure. Turn these pages, invest in your expertise, and join us in Scottsdale. See you there!

Hale Mast, CTAFIRMA Executive Director

The Fiduciary and Investment Risk Management Association, Inc. ™ (FIRMA) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.National Association of State Boards of Accountancy

2020 FIRMA CONFERENCE – 1

34th National Risk Management ConferenceFIRMA™ is proud to sponsor its thirty-fourth Annual National Risk

Management Conference and we are pleased to bring outstanding top-ics and speakers back to beautiful Scottsdale. Our demanding and challenging responsibilities for fiduciary risk continue and FIRMA stands strong in our belief that there is no more vital time than now for training, sharing, and networking. In recognition of this, FIRMA is proud to provide training resources to risk management professionals who are responsible for asset/wealth management, broker/dealer/advi-sor activities, and insurance products.

Our national speakers will discuss the current trends in the indus-try, new products and specialized lines of business, and will provide in-sights to the management and control of associated risks. Our program is designed to provide valuable benefits to:

• Fiduciary Auditors and Compliance Officers• Business Line Asset and Investment Management Professionals• Fiduciary Executives• Fiduciary Risk Management Professionals• State and National Regulators • Legal Counsel• Certified Public Accountants

Our program will offer a unique combination of general sessions and individualized breakout sessions. Our general sessions will primarily address issues of significant importance to the risk and investment management industry. This year, we are pleased to continue our offer-ings of expanded breakout sessions, held on Monday through Thursday with a total of 50 breakout sessions. Eight (8) of these breakouts will be REPEAT sessions. These breakout sessions focus on more special-ized products and services from which attendees can choose the topics of most importance to their institutions. We are also pleased to offer two valuable Pre-Conference Workshops on Sunday prior to the start of the formal conference, as well as two 2-hour Complimentary In-Con-ference Seminars on Tuesday afternoon.

Workshop FeesPre-Conference Workshops are $315 for FIRMA members and $415

for non-members.

Conference FeesConference fees are $1,895 for FIRMA members and $2,250 for

non-members. This fee includes all conference materials, daily con-tinental breakfasts, morning and afternoon refreshment breaks, two luncheons and the Monday evening welcome reception.

Group DiscountsGroup discounts to the above prices are available as follows. Group

registrations must be received together, at the same time, and paid through a single invoice.

• 5% off the above fees for 5 registrations • 10% off the above fees for 10 registrations

Special Fee Offer (Conference fee only) for Attendees from National and State Regulatory Agencies

$1,695 for Regulator FIRMA Members$1,850 for Regulator FIRMA Non-Members

FOR ALL 2020 CONFERENCE PAYMENTS: please take $100 off your registration fee if paying prior to March 14, 2020.

Cancellation Refund PolicyCancellations received prior to April 10, 2020, will be re-

funded in full, less a $75 service charge. Cancellations re-ceived April 10th through April 17th will be refunded subject to a $250 service charge. Cancellations made after April 17, 2020, are non-refundable. No refunds will be processed unless the cancella-tion is made in writing. Note: You may transfer your registration to another person at any time.

FIRMA reserves the right to change speakers or reschedule or can-cel sessions when necessary. FIRMA is not responsible for any penal-ties (e.g. airfare, hotels, etc.) that may be incurred should this program be canceled. For more information regarding seminar administrative policies such as complaint or refund, please contact our offices at 770-790-8355.

Continuing EducationThe 2020 Training Conference provides 20 Group-Live continu-

ing education hours. The Pre-Conference Workshops each provide 3 Group-Live continuing education hours; the Complimentary In-Con-ference Seminars will each provide 2 Group-Live continuing education hours. For certified FIRMA members, all of these hours will be recog-nized as FIRMA-specific.

Conference Education Prerequisites There are no advance preparation requirements to be read or com-

pleted prior to attending this program. The program skill level for this Conference is rated “Intermediate.” This program is rated Interme-diate because of the educational and/or experience recommendations as follows:

- Attendee should be a Certified professional; or- Attendees should have at least one year of general trust or fiduciary

work experience in the fields of personal trust, employee benefit trust, audit, compliance, or risk management; or

- Attendees should have passed a one-week trust school course offered by the ABA, Cannon Financial Institute, Campbell University, or an equivalent industry program; or

- Attendee should have attended a previous FIRMA education pro-gram.

Tax Deductibility The cost of continuing education (when taken to maintain or en-

hance professional development) may be tax deductible. Please consult with your tax accountant for more information.

Special Hotel Incentives from FIRMA and our Host Hotel – The Scottsdale Resort

FIRMA feels it is important for our Conference Attendees to know that FIRMA has significant contractual risk if our Attendees do not stay at our host hotel. For 2020, FIRMA is pleased to offer to our government Attendees up to 45 government-rate rooms. In addition, for all FIRMA Conference Attendees staying at The Scottsdale Resort at McCormick Ranch, each individual is eligible for one of three (3) special raffle prizes as an incentive:

• One (1) free registration certificate to the FIRMA 2021 Conference• One (1) nights hotel rooming fee rebated to Attendee’s room bill• One (1) gift voucher for a complimentary 2-night stay at The

Scottsdale ResortFIRMA always hopes our Attendees will choose to enjoy the conve-

nience of our host hotel and, for 2020, especially the grand amenities offered at The Scottsdale Resort at McCormick Ranch.

2 – 2020 FIRMA CONFERENCE

Pre-Conference Workshop I 1:00 - 4:00 pm

Taking your Compliance Program to the Next Level

Deborah Austin DirectorFiduciary Compliance DirectorWealth Markets Global Trust ComplianceMUFG UNION BANK, N.A.San Diego, California

David B. Jonke, CTA, CPA Compliance Senior Director - Wealth and Asset Management DivisionSenior Vice PresidentFIFTH THIRD BANK, N.A.Chicago, Illinois

Have you updated your compliance risk assessment recently? Is your compliance testing program centralized with other bank compliance lines of business, or does your team perform the testing? What about monitoring? What’s the difference be-tween monitoring and testing? How do you communicate with executive management? What leverage do you have to convince management to correct compliance gaps? Attend this session and learn about the practices of other bank trust compliance groups and how you can enhance your program.

Pre-Conference Workshop II1:00 - 4:00 pm

Account Reviews and Risk Rating

Duane LeeExecutive Vice PresidentCANNON FINANCIAL INSTITUTEAthens, Georgia

How many types of account reviews can you name?

Attend this session and learn about the six-types of account re-views that can do more for your organization’s risk management and compliance programs than almost any other processes. We will also be discussing an account risk-rating process you can readily- implement and how it will benefit your organization.

SUNDAY, MAY 3, 2020

New Attendee / New Member Social6:30 - 7:30 pmHosted by FIRMA

FIRMA is delighted to host a special social for our first-time Conference attendees and new FIRMA members. Our guests will learn about the events planned for the Confer-ence week, will receive tips for navigating through the many sessions – both general and breakout, and will learn about FIRMA’s mission and the benefits of FIRMA mem-bership. Guests are also encouraged to share questions with the FIRMA ambassadors. This informal reception provides an easy Conference introduction for our new attend-ees and members.


MONDAY, MAY 4, 2020Welcoming Remarks8:00 - 8:15 amFIRMA President Danielle R. Albrecht, CFIRS, CAMS

Opening Keynote Address8:15 - 9:15 am

Ethical Violations

Dominic Campisi Partner EVANS, LATHAM, CAMPISISan Francisco, California

Does your institution have a Code of Ethics for Trust Offi-cers? Does anyone read it? Trust officers who have supervisory powers may be personally liable for breaches of trust and for transmitting knowledge of breaches to their employer. A breach of ethics may be a basis for a surcharge claim against a trust officer who actively participates in a breach of trust. Hear Dom guide us through this minefield.

General Session9:30 - 10:30 am

Becoming Agile

Sarah E. Adams Managing DirectorDELOITTEHouston, Texas

The world is changing at a velocity unseen in human history. Internal Audit is stepping up in bold ways, and one of the bold-est moves they are making is adopting agile thinking to Internal Audit, or what we call Agile IA. There have been exciting successes as companies experiment with agile teams! • Learn what Agile IA is; we will separate myth from reality • Hear inspiring real life stories about IA functions becoming better, faster and happier • Understand the truly tough part of becoming agile – the mindset shift – and role you as a leader can play

General Session11:00 am - 12:00 pm

Fiduciary BSA / AML

Harold Adams CrawfordManaging DirectorALVAREZ & MARSALFinancial CrimesNew York, New York

Please join Hal for an eye-opening discussion of the latest head-line revelations in AML schemes, investigations, and sanctions. Hal is an internationally recognized forensics expert and an in-demand AML/BSA speaker who relates his expertise and AML insights to our fiduciary audience.

Luncheon 12:00 - 1:00 pm

4– 2020 FIRMA CONFERENCE

MONDAY, MAY 4, 2020Breakout Sessions – 1:00 - 2:00 pm

Regulatory Panel

James M. Marion – Moderator RETIRED, National Fiduciary Advisor ExecutiveUS TRUST, Bank of America Chicago, Illinois

Tish Dalton Director for Asset Management, Market Risk DivisionOFFICE OF THE COMPTROLLER OF THE CURRENCYWashington, D.C.

Michael W. Orange, CFIRS Senior Examination Specialist – TrustPolicy and Program Development SectionFDICWashington, D.C.

Ronald L. Wert Manager of Examinations, Asset Wealth Management TeamSupervision and Regulation DivisionFEDERAL RESERVE BANK OF ATLANTAAtlanta, Georgia

This is always a valuable and not-to-miss session with our primary federal regulators. These agency leaders will share their current fiduciary examination and policy initiatives, each responding respectively to a series of questions posed by FIRMA. This unique format will allow attendees to hear how each agency is addressing financial reform.

When Breaking Up is NOT Hard to Do

Julie Min Chayet Managing Director Private Client AdvisorPRIVATE BANK Westport, Connecticut

Please join us for a discussion on trustee break-ups and resignation. Attendees will learn how to incorporate best practices for determining when the relationship needs to end.

Agile Auditing: Transforming the Internal Audit Process and Value Proposition Using the Scrum Process Framework

Shreyas RaoAdvisory Senior ManagerDELOITTENew Orleans, Louisiana

This “deeper dive” session will provide an overview of how Agile values and principles, and the use of Scrum process framework, can transform the internal audit value proposition. A brief introduction of Agile, the Agile Manifesto, and Scrum framework will be presented as background for participants. The value proposition for Agile auditing, mindset shift, and process overview will be presented to inform participants about why the Agile auditing approach enhances audit outcomes for stakeholders and how it is developed and implemented. Live testimonials from internal auditing leaders who have pioneered the Agile auditing approach will be provided to shed light on challenges faced, lessons learned, best practices used, and ben-efits realized. By the end of the session, participants will have a basic understanding of what it takes to make the transition to Agile auditing and potential benefits to be gained.

Board Reporting and Education

Duane Lee Executive Vice PresidentCANNON FINANCIAL INSTITUTEAthens, Georgia

How knowledgeable and effective are your fiduciary boards and committees? Do they receive and monitor the relevant informa-tion about your fiduciary activities?

This session will discuss a board and committee structure, duties, responsibilities and reporting process that will check all of the boxes of your Trust Audit, Compliance & Risk Manage-ment programs. We will also discuss how to create and deliver an on-going fiduciary board and committee training program for your organization.


MONDAY, MAY 6, 2019Special Needs Trusts

Hanny Pei-RodriguezVice President and Senior Trust AdvisorFIFTH THIRD BANK, N.A.Rosemont, Illinois

This session will provide you with a working knowledge of the responsible administration of Special Needs Trusts (self-funded, third party, and Court supervised), government benefit eligibility in the context of Special Needs Trusts, effective management of beneficiaries, family caregivers, and appropriate expenses, and due diligence factors to consider in effectively managing associated risks.

Beyond Reg 9

Satish G. PattegarDirector of Fiduciary Risk & Governance Fiduciary & Investment Risk OversightWELLS FARGO CORPORATIONMinneapolis, Minnesota

As a bank fiduciary, the influence of regulations issued by the SEC, FRB, and FDIC is very critical and quite strong. This requires the fiduciary oversight professional to look beyond Regulation 9 and Regulation 12 to help ensure operational and compliance risks are properly managed. Join us for an aware-ness discussion regarding some of those regulations which currently apply, some in the near horizon; and a brief review of headline news that shape the regulatory oversight in the near future!

Building an Investment Due-Diligence Program

Lisa K. Tesarik, CFAManaging Director, Manager of Product & PlatformCIBC BANK USAChicago, Illinois

Does your firm or the firms that you oversee have a strong investment due diligence process in place? Can you or the firm easily answer the question: “Please describe your process for hiring and, if necessary, firing a manager?”

Lisa will address these questions as she discusses the impor-tance and key attributes of having a robust investment oversight process. Her session will cover:

• The fundamental components to establish a structured program for the search, selection and oversight of investment managers. • Ways in which to maintain the integrity of the established process. • Whether due diligence is needed for firms using only proprietary strategies or passive investments or even just a consultant.

Regulatory Panel REPEAT SESSION

MONDAY, MAY 4, 2020Breakout Sessions – 2:15 - 3:15 pm


MONDAY, MAY 6, 2019Auditing Against Reg 9 Standards

Barbara Speidel Managing DirectorDeputy Chief Auditor, Investment ManagementBNY MELLON Pittsburgh, Pennsylvania

Fiduciary activities are highly regulated through numerous laws and regulations aimed at protecting a wide variety of clients and related third parties. Corporate fiduciaries are generally held to the highest standard of care and prudence, and are expected to act solely in the best interest of clients. How does an auditor navigate such an environment? What does an effective audit program for a fiduciary business look like? Come to this session to explore the answers to these questions and leave with some practical ideas you can put to use in your own organization.

Beyond Reg 9 REPEAT SESSION

Building Your Regulatory Inventory

Deborah A. Austin, CTCP, CFSA DirectorFiduciary Compliance DirectorWealth Markets Global Trust ComplianceMUFG UNION BANK, N.A San Diego, California

Do you have a complete list of regulations that may be applica-ble to your organization? What is your process for determining which regulations are applicable? How do you determine if the regulation is ‘key’ or not? Are you drilling down into each citation? What is the risk rating process? Attend this session and let’s hear what others are doing and how they are “Building their Regulatory Inventory”.

Cyber Security / Incidence Response Training

Greg Michalek Senior Director, Business DevelopmentTCDIGreensboro, North Carolina

So you developed your security plans and implemented your controls to reduce the risk of a data breach. But it happened anyway. Now what?

For many companies, effectively preparing for and managing a breach can mean the difference between staying in businesses and going out of business. This session is intended to focus on the key components of incident response preparation and implementation that might just save your business and keep you out of regulatory hot water.

MONDAY, MAY 6, 2019MONDAY, MAY 4, 2020Breakout Sessions – 3:30 - 4:30 pm


Small and Regional Banks: Audit

Leaders:

Gary E. Pelcak, CTA, CFE RETIRED, Chief Audit ExecutiveCITY NATIONAL BANKJunction City, Kansas

Deanna Rankin, CFIRS Chief Compliance OfficerARGENT TRUST COMPANYSan Antonio, Texas

Large Banks: Audit

Leaders:

John L. Clark, CTA, CRCM, CAMS Retirement & Institutional Services Trust Operations ManagerTRUIST BANKRaleigh, North Carolina

Bruce K. Goldberg, CTA, CPA Managing Director. Deloitte AdvisoryDELOITTE & TOUCHE LLPNew York, New York

Small and Regional Banks: Risk / Compliance / FLOD

Leaders:

Catherine M. Fujisaki, CFIRS, CPA Vice PresidentBANK OF HAWAIIHonolulu, Hawaii

John D. Temple, AIFA, GFS SVP, Director of Fiduciary Risk ManagementRENASANT BANKTupelo, Mississippi

Large Banks: Risk / Compliance / FLOD

Leaders:

Bradley F. Beshea, CRP, CFIRS, CAMS, AMLP, CCSExecutive Vice President - Fiduciary Compliance Banking, Investments, InsuranceFROST BANK, N.A.San Antonio, Texas

Jennifer L. De Vries, CTA VP, National Director of Unique Assets Management FIFTH THIRD BANK, N.A.Rosemont, Illinois

Regulators (This session is open only to Federal and State Regulators)

Leader:

Scott Kelly, CFIRSDeputy DirectorSOUTH DAKOTA DIVISION OF BANKINGPierre, South Dakota

Join your peers in four different roundtable groups for discussions around best and leading practices to address current or emerging issues and challenges. We ask all Federal and State regulators in attendance to join the “Regulators” Roundtable. All other attend-ees may choose their Roundtable of choice by “Audit” or by Risk / Compliance / First Line of Defense discipline and by “Small and Regional Banks” or “Large Banks.”

MONDAY, MAY 6, 2019MONDAY, MAY 6, 2019MONDAY, MAY 4, 2020Roundtable Sessions – 4:45 - 5:45 pm

FIRMA’s Welcome Reception

6:30 - 8:30 pm

FIRMA’s Welcome Reception

6:30 - 8:30 pm


Trust Legislative and Regulatory Update

Cecelia A. CalabySenior Vice President / Head Regulatory CounselFinancial Intuitions Policy & Regulatory AffairsAMERICAN BANKERS ASSOCIATIONWashington, D.C.

Despite lots of lights and noise in Washington, financial industry policy is now largely in the hands of adminis-tration-appointed leaders, all of whom are proceeding to revisit how post-crisis rules and developments are working. Change continues to be a feature of the policy landscape, presenting challenge and opportunity. This session will highlight some of those changes that will impact your fiduciary businesses, with an eye towards 2020.

Data Governance - FiduciaryHania McCarthyCEOGLADCLIF GROUPNew York, New York

Ann Paturzo GonzalezManaging DirectorBNP PARIBASNew York, New York

Please join industry leaders for an in depth look at data governance. Attendees will learn the latest attributes of data stewardship, data quality, as well as methods, technologies and behaviors for privacy, analytics and protection.

Optimizing the Second Line of Defense

Mark SparanoBoard Member and Audit Committee ChairSENTINEL TRUST COMPANYHouston, Texas

In this session, Attendees will: • Learn how to properly define roles and responsibilities • Consider independence and objectivity • Appreciate how the three lines of defense cause business line fatigue and discuss some ideas to minimize that fatigue from the Second Line of Defense • Define the holy grail: optimization of all lines of defenses with partial reliance on the independent public accountant and regulators

Emerging Investment Themes Mike Musselman, CFP®, CIMA®

Senior Vice PresidentTeam Lead of Portfolio ManagementFIFTH THIRD BANK, N.A.Chicago, Illinois

This session will cover various emerging themes and topics across the investment management and portfolio construction landscape. We will discuss not only the portfolio manager’s role in the due diligence related to these ideas, but also the consid-erations for the compliance or risk officer. Mike will focus on genuinely new and emerging investment themes, but also those topics that he believes deserve a renewed bump in relevance as we sit in what may prove to be the late innings of the longest economic expansion and bull market in U.S. history.

Keynote Session 8:00 – 9:00 am

Economic Update

Alexander DrydenExecutive Director Global Market Strategy TeamJ.P. MORGAN ASSETMANAGEMENTNew York, New York

Alex Dryden, CFA, is a global market strategist with J.P. Morgan Asset Management. During the presentation Alex will discuss the health of the global economy and the prospects of a recession in the U.S. The presentation will also explore the opportunities in equities in the U.S and overseas as well as touching on how to invest in fixed income in a low yielding world.

General Session 9:15 -10:15 am

Evolving Trends in Fiduciary Risk and Governance: ‘Next-Gen’

TUESDAY, MAY 5, 2020

Breakout Sessions – 10:30 - 11:30 am

Dolores A. AtalloManaging DirectorPROTIVITINew York, New York

Liz Berger Director PROTIVITINew York, New York

Unprecedented scrutiny continues to put pressure on risk professionals to manage and even anticipate risks. From the Board of Directors to multiple external stakeholders, there is demand to demonstrate effective risk manage-ment that engages your institution and opens a seat at the table to support risk-informed decision-making. This session will focus on evolving trends and what is needed for a “next gen” approach to fiduciary risk and gover-nance.



Pre-Conference Workshop I 1:00 - 4:00 pm

Taking your Compliance Program to the Next LevelDeborah Austin, David B. Jonke

Pre-Conference Workshop II 1:00 - 4:00 pm

Account Reviews and Risk RatingDuane Lee

NEW ATTENDEE/NEW MEMBER SOCIAL – 6:30 - 7:30 PM

FIRMA’S WELCOME RECEPTION – 6:30 - 8:30 PM

Regulatory Panel James Marion, Tish Dalton

Michael W. OrangeRonald L. Wert

Agile Auditing: Transforming the Inter-nal Audit Process and Value Proposition

Using the Scrum Process NetworkShreyas Rao

When Breaking Up is NOT Hard to DoJulie Min Chayet

Board Reportingand Education

Duane Lee

Regulatory Panel REPEAT SESSION

Buildiing an InvestmentDue-Dillgence Program

Lisa K. Tesarik

Special Needs TrustHanny Pei-Rodriguez

Beyond Reg 9Satish G. Pattegar

Auditing Against Reg 9Standards

Barbara Speidel

Building Your RegulatoryInventory

Deborah A. Austin

Cyber Security / IncidenceResponse Training

Greg Michalek

Beyond Reg 9 REPEAT SESSION

Small & Regional Banks: Audit

Gary D. PelcakDeanna Rankin

Large Banks: Audit

John L. ClarkBruce K. Goldberg

Small & Regional Banks: Risk / Compliance / FLODCatherine M. Fujisaki

John D. Temple


Bradley F. BesheaJennifer L. De Vries

Regulators Scott Kelly

BREAKOUT SESSIONS – 2:15 - 3:15 PM


ROUNDTABLE SESSIONS – 4:45 - 5:45 PM

Keynote Session 8:00 - 9:00 am

Economic UpdateAlexander Dryden

General Session 9:15 - 10:15 am

Evolving Trends in Fiduciary Risk and Governance: “Next-Gen”Dolores A. Atallo, Liz Berger

FOCUS SESSIONS – 2:30 - 4:30 PM

HOSTEDLUNCHEON

12:00 -1:00 pm

WELCOMINGREMARKS8:00 - 8:15 am

FIRMA President Danielle Albrecht

Focus Session IIrrevocable Trust Distributions

Joanne E. Hindel, Daniel E. Ramer

Focus Session IIThree Lines: One Bank

Holly A. Bailey, Shannon Vidmont

OPENINGKEYNOTE ADDRESS

8:15 - 9:15 amEthical ViolationsDominic Campisi

GENERAL SESSION9:30 - 10:30 am

Becoming AgileSarah Adams

GENERAL SESSION11:00 am - 12:00 pm

Fiduciary BSA / AMLHarold Adams Crawford

SUNDAY

TUESDAY

MONDAY


W EEK AT A GL A NCE

Trust Legislative andRegulatory UpdateCecelia A. Calaby

Data Governance–FiduciaryHania McCarthy,

Ann Paturzo Gonzalez

Optimizing the Second Line of Defense

Mark Sparano

Emerging Investment ThemesMike Musselman

Trust Legislative andRegulatory UpdateREPEAT SESSION

ERISA Basics/ProhibitedTransactionsLarry Divers

Managing Risks inFoundations/Endowments

Kathleen Finck

Emerging Investment ThemesREPEAT SESSION

BREAKOUT SESSIONS – 10:30 - 11:30 AM

BREAKOUT SESSIONS – 11:45 AM - 12:45 PM

W EEK AT A GL A NCE


Investment Operations Activities

Matt Bankston

Executive Panel – Personal Trust – Our Changing World

Gabrielle Bailey, Mike Milich,David S. Villwock

Directed Trusts in Today’s Fiduciary World REPEAT SESSION

Understanding Obscure Trusts

Kathryn S. Van Eeuwen

Income Tax and Transfer Tax Update

C. Gray Johnsey

Executive Panel – Personal Trust – Our Changing World

REPEAT SESSION

Current Trends and Topics in SOC Reports

James R. Merrill

It’s a Rough World Out There, Balancing Risk/

Reward in Specialty Asset Management - aka Unique and Hard-to-Value Assets

Andrew Tanner

Income Tax and Transfer Tax Update s

REPEAT SESSION

The Case of the Curious Collector

Robert Dray, Hanny Pei-Rodriguez, Stuart P. Whitehurst

Preparing for Your Next Regulatory Exam

Jeffery S. Kropschot

Compensation and Disclosures in ERISA

Accounts: Tips and Traps Jason C. Roberts

KEYNOTE SESSION8:00 - 9:00 am

Impact of the Cannabis Industry on FiduciariesMichael Speaker

ERISA Update Alexander Ryan

Vendor Management for Trust Departments

Machelle L. Rinko

Key Considerations and Risks in Bank M&AJoshua Carter

Managing Digital and Intangible AssetsKeyonn L. Pope

ERISA UpdateREPEAT SESSION

Marketing: Ethics, Responsibilities and Disclosures

Gregory B. Campbell

Directed Trusts in Today’s Fiduciary World

Todd A. Flubacher, Lauren Wolven

Fiduciary Operations Best Practices: Strategies for Those

with Limited ResourcesDonn Alan Lassila





KEYNOTE SESSION8:00 - 9:00 am

The AI Advantage: Putting Artificial Intelligence to Work for You in Risk and Compliance

Brian Clark

ROUNDTABLE SESSIONS – 10:30 - 11:30 AMCONFERENCE HIGHLIGHTS & KEY TAKEAWAYS

LUNCHEON & MEETING11:45 am - 1:15 pm

Open to all Conference Attendees

FIRMA Annual Membership MeetingDanielle Albrecht, President

GENERAL SESSION9:15 - 10:15 am

The Fight for Talent (and Clients) from the Rising GenerationsJ. Phil Buchanan

THURSDAY

WEDNESDAY


Small & Regional Banks: Audit

Gary D. PelcakDeanna Rankin

Large Banks: Audit

John L. ClarkBruce K. Goldberg

Small & Regional Banks: Risk / Compliance / FLODCatherine M. Fujisaki

John D. Temple


Bradley F. BesheaJennifer L. De Vries

Regulators Scott Kelly

Focus Session I2:30 pm – 4:30 pm

Profound and Problematic: The Opportunities and Challenges Presented by Irrevocable Trust Distributions

Joanne E. HindelVice President & Regional Fiduciary ExecutiveOSBA Board Certified Specialist in Estate Planning, Trust and Probate LawFIFTH THIRD BANK, N.A.Cleveland, Ohio

Daniel E. RamerVice President & Regional Fiduciary Executive FIFTH THIRD BANK, N.A.Piqua, Ohio

We first discuss the duty, and art, of exercising trustee discretion to accomplish settlor intent,

satisfy beneficial interests and fulfill fiduciary responsibilities. Then we will provide some recommendations for how to bal-ance fiduciary loyalties to the settlor’s wishes and loyalties to, and among, the trust beneficiaries. We are including reviews of adjustments of principal and income under trust terms or state law, decanting, and discretionary terminations of “uneconomic” trusts.

Next, we will examine a variety of commonly encountered man-datory-distribution scenarios involving irrevocable trusts and will discuss some of the tax and accounting issues that must be addressed when making these distributions, and whether and how to secure protection for the fiduciary when contemplating substantial or final distributions.

Focus Session II2:30 pm – 4:30 pm

Three Lines: One Bank

Holly A. Bailey, JDSVP, Global Fiduciary Risk ManagementNORTHERN TRUSTChicago, Illinois

Shannon VidmontVice President | Wealth Management Control ManagerNORTHERN TRUSTChicago, Illinois

In today’s ever evolving operational and fiduciary landscape, it may be confusing to determine what your role is within your bank’s governance, risk management, and control structure. During this session, we will review thoughtful approaches to the three lines of defense structure that support a sustainable model. Join us to discuss how you can build an effective and successful fiduciary risk and control structure without stepping on your colleague’s toes.

TUESDAY, MAY 5, 2020


ERISA Basics/Prohibited Transactions/ESOPsLarry DiversExecutive Vice PresidentCANNON FINANCIAL INSTITUTEAthens, Georgia

What did Enron, Radio Shack and Eastern Airlines have in common? All of these compa-

nies went bust; their employees lost more than $1 billion dollars in retirement saving through their Employee Stock Ownership Plan (ESOP) at work.

This one-hour program will focus on Prohibited Transactions in a Qualified Retirement Plans from both the Department of La-bor and Internal Revenue Service points of view. It will stress the specific areas that may be troublesome in these audits and reviews.

Managing Risks in Foundations/EndowmentsKathleen FinckSenior Vice PresidentFROST BANK, N.A.San Antonio, Texas

Deepen your relationships with your trust and banking clients by discussing their charita-

ble goals and how to achieve them. Attendees will learn the relative benefits and risks of donor advised funds and private foundations so they may guide their clients to choose the best charitable vehicle for their needs.

Emerging Investment ThemesREPEAT SESSION

Trust Legislative and Regulatory Update REPEAT SESSION

Breakout Sessions – 11:45 am - 12:45 pm

Keynote Session8:00 - 9:00 am

The AI Advantage: Putting Artificial Intelligence to Work for Youin Risk and Compliance

Managing Digital and Intangible Assets

Keyonn L. Pope PartnerREED SMITH LLPChicago, Illinois

The rapid advance of technology is having sweeping impact on society at large, including, but not limited to, banking, finance and wealth management. More specif-ically, technological advances have transformed the types of assets the financial sector manages, for example, through the proliferation of cryptocurrency and blockchain, and the increased importance of intellectual property. This session will examine the nuances of managing digital and intangible assets and provide practical strategies for navigation, including compli-ance, regulatory, and legal perspectives.

Vendor Management for Trust Departments

Machelle L. Rinko, CPA, CIA, CFIRSMAZARS USA, LLPNew York, New York

There is a diverse range of services and a broad range of vendors that can be outsourced related

to overall account administration, investment, recordkeeping and reporting. With the numerous vendors and service provid-ers, the requirements for monitoring and tracking of risk and service levels have increased. Have you effectively identified those “key” vendors, processes and procedures? We will discuss challenges trust departments have in assessing which vendors are critical when ranked against all an institution’s vendors, how there may not always be a one size fits all process and who should own the process. In addition, we will discuss the re-quirements and responsibilities we have as trustees for payment to vendors from trust funds.

Key Considerations and Risks in Bank M&A

Joshua Carter PRICEWATERHOUSECOOPERS LLPChicago, Illinois

Bank M&A activity has been on a steady rise since the financial crisis. Economic conditions, the competitive environment and regulatory costs have also put significant pressure on banks to reduce costs and find creative ways to profitably grow their businesses. As a result, bank executives are increasingly turning toward mergers and divestitures as tools to grow and refine their business models. There have been a number of significant changes in the bank workforce, how customers choose to bank, reliance on technology, financial and regulatory reporting and bank operations. These changes introduce new challenges, risks and opportunities. During this session we will discuss these trends as well as review the 8 keys to successful banking integrations.

ERISA Update

Alexander RyanPrincipalGROOM LAW GROUP, Chartered Washington, D.C.

Alex Ryan is an attorney with Groom Law Group, Chartered, in Washington, DC. He works regularly with a variety of retirement plan sponsors and retirement plan service providers concerning regulatory aspects of retire-ment plans. Alex will speak with us about current events and emerging trends in retirement plans and the retirement plans industry.

Breakout Sessions – 9:15 - 10:15 am

WEDNESDAY, MAY 8, 2019WEDNESDAY, MAY 6, 2020

When it comes to artificial intelligence, humankind is increasing its knowledge exponentially. Financial institutions are already using AI at every level, and yet, confusion is still commonplace—from discussing basic definitions to the actual how-to of implementation. In this session, we will demystify AI and discuss what it is (and is not), how it is being applied to manage risk and compliance, and best practices for operationalizing AI in your business. Most importantly of all, we will explore the ethical considerations implicit in a technology that seeks to understand and replicate human learning and cognition—especially in the critically human practice of in-terpreting and fulfilling the Rule of Law. We will get tactical on the implications of its use in risk, audit, and compliance functions. The reality? AI is here to stay, but it will not replace us: it is a tool that will enhance us. It is up to all of us to get it right.

Brian Clark CEO ASCENT REGTECHChicago, Illinois


ERISA UpdateREPEAT SESSION

Marketing: Ethics, Responsibilities and Disclosures

Gregory B. Campbell Senior Counsel CIBC PRIVATE WEALTH MANAGEMENTChicago, Illinois

Never before has our industry been so challenged with ‘getting it right’ as to marketing. Please join Greg for an engaging dis-cussion of the risks and responsibilities within the sales arena for all fiduciary institutions.

Directed Trusts in Today’s Fiduciary World

Todd A. FlubacherPartnerMORRIS, NICHOLS, ARSHT & TUNNELL LLPWilmington, Delaware

Lauren WolvenPartner, Trusts & Estates GroupLEVENFELD, PEARLSTEIN LLPChicago, Illinois

Please join Lauren and Todd as they discuss jurisdictional dif-ferences among states regarding directed trusts, best practices for structuring and implementing directed trusts, and current risk issues in administration.

Fiduciary Operations Best Practices: Strategies for Those with Limited Resources

Donn Alan Lassila, CFIRSVice President, Chief Compliance/AML OfficerPEAK TRUST COMPANYAnchorage, Alaska & Las Vegas, Nevada

Just about every Fiduciary Compliance Department is busier than a single springtime bee in my mother’s May Day garden. Regardless of the size of your organization you are encouraged to join this interactive workshop. Donn is sharing his experience and observations across multiple financial organizations from his leadership career. Bring your input and he will share his wins in some of the following key areas:

• Program definition and alignment with your Company’s strategic plan • Identifying a successful role for partners; those you pay for and those you endear • Leveraging technology – carefully • Maintaining your relevance through your very own professional development • Conflict Resolution & Self Care

Luncheon and MeetingOpen to all Conference Attendees

11:45 am - 1:15 pm

“FIRMA Annual Membership Meeting”Danielle Albrecht, CFIRS, ACAMS

FIRMA President

Breakout Sessions – 10:30 - 11:30 amWEDNESDAY, MAY 8, 2019WEDNESDAY, MAY 6, 2020


Breakout Sessions – 1:15 - 2:15 pmWEDNESDAY, MAY 8, 2019

Investment Operations Activities

Matt Bankston, CFP®Director of Product and Platform OperationsRSM US WEALTH MANAGEMENT LLCMinneapolis, Minnesota

Amidst the rising number and increasing complexity of new regulation, wealth management companies around the globe are left scrambling to keep up with changes in order to minimize risk, and guarantee compliance at the lowest cost and with the lowest operational impact. In this session Matt will be discuss-ing the following:

• Discover the impact that technology is having on operations and investment activities. • Investment Operations vs. Trust/Custody Operations, what’s the difference? • Learn what compliance professionals and regulators need to know regarding the activities of an investment operations department. • Reporting challenges and the uses of technology in regulatory reporting for RC-T, 13F and ADV reporting. • Proxies • Trade Monitoring and Processing • Technology’s role in investment related activity monitoring and compliance with Reg 9

Understanding Obscure Trusts

Kathryn S. Van Eeuwen President & CEOATG TRUST COMPANYChicago, Illinois

SO, you want to grow your trust business? If you are thinking about broadening your current scope of trust administration and are considering taking on some of the less well-known trusts, you may want to attend this session first. Attendees will:

• Learn receive a broad overview of many of the trusts not every institution currently administers • The unique operational needs of each • What potential risks an organization might encounter

Executive Panel – Personal Trust –Our Changing World

Catherine M. Fujisaki, CFIRS, CPA - ModeratorVice PresidentBANK OF HAWAIIHonolulu, Hawaii

William T. Norris - ModeratorPrivate WealthManaging Director / Chief Investment OfficerCIBC BANK USAChicago, Illinois

Gabrielle Bailey Chief Fiduciary Officer, Managing DirectorCIBC PRIVATE WEALTH MANAGEMENTWilmington, Delaware

Mike MilichDirector of Trust, Sr. EVP- Frost Wealth Advisors FROST BANK, N.A. San Antonio, Texas

David S. VillwockHead of Firmwide Fiduciary ComplianceManaging DirectorJPMORGAN CHASE BANK, N.A.Columbus, Ohio

In this session, Fiduciary senior executives from three different organizations will share their perspective on best and leading practices and how they are approaching current and emerging challenges related to regulatory changes, technology advance-ments and industry trends. They will also answer your ques-tions about how these changes may impact your business.

Directed Trusts in Today’s Fiduciary World REPEAT SESSION

WEDNESDAY, MAY 6, 2020


Breakout Sessions – 2:30 - 3:00 pmIncome Tax and Transfer Tax Update

C. Gray Johnsey, EsquirePrincipal / ShareholderWHITE & ALLEN, LLPKinston, North Carolina

This session will “pick-up” from the Tax Cuts and Jobs Act of 2017 and attendees will learn significant income tax and trans-fer tax developments during the past twelve months. Gray will also discuss the implications for fiduciaries.

Current Trends and Topics in SOC Reports

James R. Merrill, CPA Managing DirectorERNST & YOUNG LLPTysons, Virginia

This session will provide an overview of the current state of the relevant auditing standards for SOC reports and focus on recent changes considered by the AICPA in response to regulatory and industry activity. There will be a discussion of the guidance available to service organization entities and their auditors as well as some of the changes being proposed. Industry trends will be discussed with a focus on more in-depth reporting on key control areas.

It’s a Rough World Out There, Balancing Risk/Reward in Specialty Asset Management - aka Unique and Hard-to-Value Assets

Andrew Tanner, CFA Managing Director – Specialty Assets Management Executive

BANK OF AMERICADallas, Texas

While it’s a given that when it comes to Specialty Assets— expect the unexpected; most outcomes (good or bad) are a direct result of people, process, and technology. Come and explore how to better: • Anticipate the unexpected across the common specialty asset categories, • Sync processes up to the two major regulatory pronouncements, • Make compliance a natural byproduct of a good process, • And enjoy a few great war stories along the way.

Executive Panel – Personal Trust –Our Changing World REPEAT SESSION


16– 2020 FIRMA CONFERENCE

Breakout Sessions – 3:45 - 4:45 pmPreparing for Your Next Regulatory Exam

Jeffery S. Kropschot Principal and FounderKROPSCHOT CONSULTING PARTNERS LLCSarasota Springs, Utah

Whether you have been through a regulatory examination be-fore or this is your first experience, the prospect of an impend-ing examination can create uncertainty and anxiety. The best way to ease these concerns is to be prepared. In this session, you will learn best practices to properly prepare for a regulatory examination and effectively manage the process while regula-tors are onsite at your institution. You will also learn steps to take after the examination process has concluded to address and resolve all findings, as well as foster an ongoing, collabora-tive dialogue between you and your regulator. Compensation and Disclosures in ERISA Accounts: Tips and Traps

Jason C. RobertsChief Executive OfficerPENSION RESOURCES INSTITUTE, LLCOverland Park, Kansas

As regulators and plaintiffs continue to scrutinize arrangements between retirement plans and service providers, firms would be well-served to proactively reexamine their services, compensa-tion and disclosures to ensure they are compliant with the tech-nical and ever-changing requirements under ERISA. Indeed, with the DOL “fiduciary rule 3.0” looming, it’s critical to have a solid foundation in place from which to evaluate and implement new changes. During this breakout session, Jason will discuss both the legal and practical considerations that will affect financial institutions’ decisions regarding the nature and scope of services as well as the permissible forms of compensation received in connection therewith. Attendees will be provided with actionable takeaways they can use to evaluate their risk and help ensure compliance.

The Case of the Curious Collector

Robert Dray Managing Director Trust Special AssetsFIFTH THIRD BANK, N.A.Rosemont, Illinois

Hanny Pei-RodriguezVice President and Senior Trust AdvisorFIFTH THIRD BANK, N.A.Rosemont, Illinois

Stuart P. WhitehurstCo-OwnerMARVIN & WHITEHURST APPRAISAL GROUP Stuart, Florida

In this session the panel will discuss a case study related to the mobilization of resources in the management of unique trust assets. They will share their experience with a complex dece-dent’s estate involving real and personal property compromised by environmental issues. A significant portion of the discussion will center on the actions taken to secure the personal prop-erty, which include fine and decorative art, jewelry, stamps, currency, and loose precious stones, mitigate the environmental issues, and prepare the assets for disposition.

Income Tax and Transfer Tax Update REPEAT SESSION



Keynote Session8:00 – 9:00 am

Impact of the Cannabis Industry on Fiduciaries

Michael SpeakerGeneral Counsel and Corporate SecretaryCITY NATIONAL BANKLos Angeles, California

In this session, attendees will: • Learn about the differences between hemp and marijuana • Hear the latest industry positions regarding fiduciary responsibilities vis-à-vis cannabis • Get the latest legislative and regulatory updates on the issue • Discuss balancing risk and opportunity in this space

General Session9:15 – 10:15 am

The Fight for Talent (and Clients) from the Rising Generations

J. Phil Buchanan Executive Chairman CANNON FINANCIAL INSTITUTEAthens, Georgia

Has there ever been a more vilified generation of Ameri-cans than Millennials? What about Generation Z? “Enti-tled”…..”Demanding”…..”Poor Work Ethic.” All are descriptions that have been cast Millennials’ and Generation Z’s way. Yet, these “truths” aren’t accurate for the firms that create and cultivate a culture of innovation and forward thought. Further, prospective clients who are Millennials or members of the Generation Z seek to work with professionals who not only “get” them, but who appreciate their interests and values.

Human capital and new clients are essential to a thriving organization. How does your firm match up? Phil Buchanan will share his firm’s research and challenge the way many view these truly powerful generations.

THURSDAY, MAY 7, 2020


Roundtable Sessions – 10:30 - 11:30 amTHURSDAY, MAY 7, 2020

Small and Regional Banks (Audit)

Leaders:

Gary E. Pelcak, CTA, CFE RETIRED – Chief Audit ExecutiveJunction City, Kansas

Deanna Rankin, CFIRS Chief Compliance OfficerARGENT TRUST COMPANYSan Antonio, Texas

Large Banks (Audit)

Leaders:

John L. Clark, CTA, CRCM, CAMS Retirement & Institutional Services Trust Operations ManagerTRUIST BANKRaleigh, North Carolina

Bruce K. Goldberg, CTA, CPA Managing Director. Deloitte AdvisoryDELOITTE & TOUCHE LLPNew York, New York

Small and Regional Banks (Risk / Compliance / FLOD)

Leaders:

Catherine M. Fujisaki, CFIRS, CPA Vice PresidentBANK OF HAWAIIHonolulu, Hawaii

John D. Temple, AIFA, GFS SVP, Director of Fiduciary Risk ManagementRENASANT BANKTupelo, Mississippi

Large Banks (Risk / Compliance / FLOD)

Leaders:

Bradley F. Beshea, CRP, CFIRS, CAMS, AMLP, CCSExecutive Vice President - Fiduciary Compliance Banking, Investments, InsuranceFROST BANK, N.A.San Antonio, Texas

Jennifer L. De Vries, CTA VP, National Director of Unique Assets Management FIFTH THIRD BANK, N.A.Rosemont, Illinois

Regulators(This session is open only to Federal and State Regulators)

Leader:

Scott Kelly, CFIRSDeputy DirectorSOUTH DAKOTA DIVISION OF BANKINGPierre, South Dakota

Conference Adjourns11:30am

Conference Highlights & Key Takeaways


Hotel and Amenities The Scottsdale Resort at McCormick Ranch7700 East McCormick ParkwayScottsdale, AZ 85258480-991-9000

The Scottsdale resort at McCormick Ranch reflects the beauty, warmth, and spirit of the Sonoran Desert. Adjacent to the McCormick Ranch Golf Club these elegant rooms offer pool and golf course views, combining both a luxury vacation retreat and an exceptional Phoenix-area meeting destination. This oasis in the desert combines modern accommodations with the ele-gance of historic haciendas of the past.

Hotel Highlights:326 spacious guestrooms80,000 square feet of flexible function spaceIdeally located in the heart of Scottsdale, the AAA Four-Di-

amond Scottsdale Resort at McCormick Ranch welcomes you to experience all that Scottsdale has to offer. Dig into locally inspired cuisine, beautiful desert scenery and the convenient outlets on property.

Kitchen West, located on the lower level of the resort these farm-to-table flavors are among the finest in Scottsdale. Featur-ing a vibrant open kitchen and wood-fire grill Kitchen West of-fers not just a meal but a spirited gather place.

Bar640, Coffee shop by day and a lively cocktail scene by night, Bar640 offers mouthwatering food and drinks every day at 4pm with the start of happy hour.

Twisted Vine Pool Bar & Grill - While lounging around the resorts pool and hunger strikes, Twisted Vine offers a full menu to satisfy. For the ultimate pool experience you are invited to reserve a private cabana.

Luna Spa - A retreat for the body, mind and soul, Luna Spa offers diverse service offerings such as holistic treatments, hot stone massages, aromatic body treatments and more. Follow your treatment with a revitalizing workout at our adjacent fitness cen-ter.

Complimentary Wi-Fi in every guest room

Hotel ReservationsConference attendees will receive a reduced group rate of

$229.00 single or double occupancy. FIRMA also has 45 gov-ernment rate rooms blocked at The Scottsdale Resort, from Sun-day night through Wednesday night. Hotel reservations may be made online at:

FIRMA Block: https://www.hyatt.com/en-US/group-booking/PHXDS/G-02JM

FIRMA Government Block: https://www.hyatt.com/en-US/group-booking/PHXDS/G-F333 Government block attendees must show proper credentials at check-in.

Reservations may also be made over the phone by calling 800-540-0727. The guests should request the FIRMA or FIRMA government rooming block.

Attendees will be able to book up until our agreed cut off which is Friday, April 10, 2020, or until our block is sold out. ALL RESERVATIONS MADE AFTER 5 PM, Friday, April 10, 2020, ARE SUBJECT TO AVAILABILITY. The special FIRMA group rate will be honored (3) days prior and (3) days after the meeting dates, subject to availability.

DressCasual dress is recommended for all conference functions.

Scottsdale enjoys a warm climate; the average temperature in early May is 80-85 degrees with lows around 55-60 degrees at night. While attending conference sessions, a sweater or jacket is always recommended.

Airport Transportation Information (Prices approximate and subject to change)A taxi/Uber/Lyft will cost approximately $30-40 from Phoenix

International Sky Harbor to The Scottsdale Resort at McCor-mick Ranch. Luxury Vehicles will cost approximately $49.00 (1-3 passengers); reservations are recommended and can be made by calling (480) 820-0230.

Americans with Disabilities Act FIRMA is pleased to assist in complying with ADA. If you are

an attendee with a disability, please contact Hale Mast, FIRMA Executive Director, (803) 547-8964, to discuss any auxiliary aids needed to assist you from a communications, transportation, or architectural aspect. FIRMA will then inform the hotel of your special needs.

Special Events On Sunday evening, May 3rd, FIRMA will host a social for

First-Time Conference Attendees / FIRMA New Members from 6:30 to 7:30pm. Details are on page 3. Please indicate you are a first-time attendee on the conference registration form.

FIRMA will host a special welcome reception on the beau-tiful Paradise Park Lawn at The Scottsdale Resort on Monday evening, May 4th, from 6:30-8:30pm. Come join us and enjoy this time to meet old and new friends attending the conference.

On Tuesday afternoon, May 5th, FIRMA is offering two com-plimentary Focus Sessions from 2:30 - 4:30pm, entitled “The Opportunities and Challenges Presented by Irrevocable Trust Dis-tributions” and “Three Lines: One Bank.”

The FIRMA Annual Membership Meeting will be held fol-lowing the hosted luncheon on Wednesday, May 6th. All confer-ence attendees are invited to join us for lunch and the meeting.

NOTES33rd National

Risk Management Training Conference34th National Risk Management Conference


REGISTRATION FORMFIRMA 34th NATIONAL RISK MANAGEMENT TRAINING CONFERENCE

May 3-7, 2020 Register for: Check one: q Member q Non-member q Conference q $1,895.00* q $2,250.00* q Conference-Regulators q $1,695.00* q $1,850.00* q Pre-Conference Workshop qI qII q $315.00 q $415.00 q In-Conference Seminar qI qII (no charge for conference attendees, but pre-registration is required)

*Take a $100 discount if paid prior to March 14, 2020

Full Name – Mr. / Mrs. / Ms. ______________________________________________________________________________________________

Name for Badge _______________________________________________________________________________qFIRST TIME ATTENDEEor NEW FIRMA MEMBER

Title ___________________________________________________________________________________________________________________

Organization ____________________________________________________________________________________________________________

Address ________________________________________________________________________________________________________________

City, State, Zip __________________________________________________________________________________________________________

Phone_____________________________________________________________ Fax _________________________________________________

E-mail Address _______________________________________________________________________________

GROUP DISCOUNTS: FOR GROUPS OF 5+ OR 10+ ATTENDEES, REGISTRATIONS MUST BE SUBMITTED AT THE SAME TIME AND PAID TOGETHER TO RECEIVE THE DISCOUNT.

If you are part of a group registration, please forward this completed form to your internal group coordinator.GROUP COORDINATORS: Please send all registrations together so that the correct discount can be applied,

and include your billing contact information for the single group invoice.

qPlease Invoice

qCheck enclosed (payable to FIRMA)

qCharge it: qVISA qMasterCard qDiscover qAmerican Express

Card Holder Name (Please Print) _______________________________________________________________________________________

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Conference Materials: All 2020 Conference attendees may access and download the conference materials, speaker outlines, and handouts from the FIRMA website and the FIRMA mobile App prior to the Conference. Registered attendees will be notified when the speaker materi-als become available.

BY MAILCopy and mail this complete form to:FIRMA, PO Box 669515, Marietta, GA 30066.

BY TELEPHONECall us at (770) 790-8355, Monday-Friday, 8 AM to 5 PM EST.

BY FAXSend this completed form to (770) 790-8363.

BY E-MAILOur e-mail address is [email protected]

REGISTER ONLINEVisit our website at www.thefirma.org.

TRAVELCall Renee at Action Travel at (800) 854-0601, ext. 3023 for travel arrangements.

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34th annual fiduciary risk management conference · 2020-01-06 · 34th annual fiduciary risk...

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