Trust Risk Issues and Compliance

Trust Risk Issues and Compliance

New regulation and litigation heighten risks for fiduciaries. With an increasingly complex operating environment, your organization needs to stay on top of the latest issues, challenges and approaches to compliance, auditing and risk management. This seminar includes valuable material, presentations and discussions to help you address these timely issues.  We are pleased to once again join with FIRMA to provide this program virtually on October 21st.

Agenda:
8:50am to 9:00am - Welcome and Introduction (Chelsea Brown, TBA)
9:00am to 10:00am - Current OCC Trust Initiatives  (David Stankiewicz, OCC)
10:15am to 11:15am - ERISA / DOL Update  (Jeanne Wilson, Groom Law)
11:15am to 12:12pm - ESG Investing  (John Tennaro, CIBC)
12:30pm to 1:15pm  - Lunch Break
1:15pm to 2:15pm - Unique / Hard-To-Value Assets  (Andrew Tanner, Bank of America)
2:30pm to 3:30pm - Trust Audit Hot Topics  (Neil Bohlen, Wells Fargo)
3:45 to 4:45pm - Technology & Custody Challenges within FinTech / Crypto /  Blockchain / Bitcoin:  (Brad Franko, Cingo Solutions & Michael Hiles, 10XTS)
4:45pm - Adjourn
*This event will be presented virtually*

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David Stankiewicz
. David is the Technical Expert for Asset Management Policy in the Market Risk Policy Division of the Office of the Comptroller of the Currency.  David will provide an update on OCC initiatives and current examination criticisms in bank fiduciary activities, including the OCC’s view on crypto currency.

Following David, we welcome Jeanne Wilson, a Principal with Groom Law in Washington, DC.  Jeanne will highlight key rulings affecting EB administrative risk as well as current litigation rulings.  Attendees will also learn the status of the DOL Fiduciary Rule.

We will end the morning with John Tennaro, CIMA ®, CSRIC Head of ESG & Impact Investing Solutions with CIBC Private Wealth Management in Washington, DC.  John will discuss and attendees will learn about current ESG guidelines, applications, and ESG investment management.

After a short lunch break, we extend a warm welcome to Andrew Tanner, COO for Specialty Asset Management at Bank of America in Dallas.  Andrew will discuss and attendees will learn the critical administrative process and decision making required across the common specialty asset categories.  Attendees will also learn the impact of the two major regulatory pronouncements for unique and hard-to-value assets.

Following Andrew, we welcome Neil Bohlen, CIA, CAMS, Audit Director of Wells Fargo’s Wealth & Investment Management Audit Team in Charlotte, NC.  Neil will discuss hot topics and risks seen within trust audits.

We conclude our program withBrad Franko and Michael Hiler.  Brad is National Sales Director with CINGO SOLUTIONS in St. George, UT.  Rob is Co-Founder and CEO with 10XTS in Cincinnati, OH.  The influx of technology into the financial ecosystem is evolving at a pace that outstrips many organizations' ability to respond. The rise of crypto currencies, mixed with consumer demand for transparency and forward thinking technology, make our role as an advisor or finance professional more challenging than ever before.  Brad and Rob will discuss and attendees will learn the unique technology and data security challenges in the areas of FinTech, Crypto Currency, Blockchain, and Bitcoin.


When
10/21/2021 9:00 AM - 5:00 PM
Where
Virtual
 

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