Agenda

Day One Tuesday, June 7

6:00 AM | 1 Hour

Sunrise Fitness Activities: Yoga Class or Spin Class


7:30 AM

Registration Opens


7:45 AM | 1 Hour 30 Minutes

Breakfast in the Exhibit Hall


9:15 AM | 1 Hour 15 Minutes

Discover Pershing – Session I

Digitize Your Practice with Technology

Find out the latest on Pershing's technology solutions. Learn how to leverage NetX360®, NetXInvestor, NetX360 Mobile along with our managed investments and wealth reporting solutions to help digitize your practice, improve ways to collaborate with clients and enhance efficiency.

Theme: Boosting Your Efficiency

Freeze Frame: Delivering the Full Pershing Picture

Pershing's integrated solutions go across all investor segments. Find out about exchange-traded funds (ETFs), FundVest®, Managed 360, BNY Mellon Select, managed investment solutions and more so you can present a complete investment picture to your clients.

Theme: Boosting Your Efficiency

Keeping the Best Interests of Our Clients: Managing the Department of Labor (DOL) Fiduciary Rule [Broker-Dealer]

Join Pershing's regulatory and investment solutions experts for a discussion on Pershing's strategies and tools that are designed to help you manage your practice under the DOL fiduciary rule.

Theme: Decoding Risk, Regulation and Responsibility

Law & Order: Top Regulatory Topics for Registered Investment Advisors

There is a tidal wave of regulatory issues sweeping across the industry, including the January FINRA rules and new Anti-Money Laundering (AML) rules proposed by the United States Department of the Treasury. Join us for an in depth discussion to help chart your course through these new waters.

Theme: Decoding Risk, Regulation and Responsibility

Navigating Pershing's Platform: Art, Science or Both?

This session will provide you with an understanding of how the Pershing platform connects money management firms with advisors and investors. The discussion will include insights from advisors who will share views on how they manage their investment strategies, as well as best practices from manager's on Pershing's platform.

Theme: Positioning Yourself for Growth

The Registered Investment Advisor's (RIA) Guide to Wealth Management

RIA's who serve clients with complex financial lives often use a bank custodian for one type of client or account, and a brokerage custodian for different circumstances. Learn how you can access a unified solution that offers business development support, relationship management, client service and technology under a single, common framework, bringing new levels of efficiency and support to your practice.

Theme: Positioning Yourself for Growth

Retirement Means It's Time to Go to Work

There is a $1.3 trillion opportunity in the growing advisor-sold DC space. Join Pershing's retirement experts for an interactive discussion on what it takes to expand your presence in this market. Learn where the opportunities are and how to grow a profitable practice.

Theme: Positioning Yourself for Growth

Your Wealth Management Business: Good to Grow?

The wealth management industry has more opportunity than ever before. Learn how you can apply Pershing's solutions to successfully engage this critical market segment through donor advised funds, Pershing's trust network, private banking solutions and the additional resources you can access through BNY Mellon.

Theme: Positioning Yourself for Growth


10:30 AM | 30 Minutes

Networking Break


11:00 AM | 1 Hour 15 Minutes

Discover Pershing – Session II

Digitize Your Practice with Technology

Find out the latest on Pershing's technology solutions. Learn how to leverage NetX360®, NetXInvestor, NetX360 Mobile along with our managed investments and wealth reporting solutions to help digitize your practice, improve ways to collaborate with clients and enhance efficiency.

Theme: Boosting Your Efficiency

Freeze Frame: Delivering the Full Pershing Picture

Pershing's integrated solutions go across all investor segments. Find out about exchange-traded funds (ETFs), FundVest®, Managed 360, BNY Mellon Select, managed investment solutions and more so you can present a complete investment picture to your clients.

Theme: Boosting Your Efficiency

Keeping the Best Interests of Our Clients: Managing the Department of Labor (DOL) Fiduciary Rule [Advisor]

Join Pershing's regulatory and investment solutions experts for a discussion on Pershing's strategies and tools that are designed to help you manage your practice under the DOL fiduciary rule.

Theme: Decoding Risk, Regulation and Responsibility

Law & Order: Top Regulatory Topics for Broker-Dealers and Their Advisors

There is a tidal wave of regulatory issues sweeping across the industry, including the January FINRA rules and new Anti-Money Laundering (AML) rules proposed by the United States Department of the Treasury. Join us for an in depth discussion to help chart your course through these new waters.

Theme: Decoding Risk, Regulation and Responsibility

Navigating Pershing's Platform: Art, Science or Both?

This session will provide you with an understanding of how the Pershing platform connects money management firms with advisors and investors. The discussion will include insights from advisors who will share views on how they manage their investment strategies, as well as best practices from manager's on Pershing's platform.

Theme: Positioning Yourself for Growth

The Registered Investment Advisor's (RIA) Guide to Wealth Management

RIA's who serve clients with complex financial lives often use a bank custodian for one type of client or account, and a brokerage custodian for different circumstances. Learn how you can access a unified solution that offers business development support, relationship management, client service and technology under a single, common framework, bringing new levels of efficiency and support to your practice.

Theme: Positioning Yourself for Growth

Retirement Means It's Time to Go to Work

There is a $1.3 trillion opportunity in the growing advisor-sold DC space. Join Pershing's retirement experts for an interactive discussion on what it takes to expand your presence in this market. Learn where the opportunities are and how to grow a profitable practice.

Theme: Positioning Yourself for Growth

Your Wealth Management Business: Good to Grow?

The wealth management industry has more opportunity than ever before. Learn how you can apply Pershing's solutions to successfully engage this critical market segment through donor advised funds, Pershing's trust network, private banking solutions and the additional resources you can access through BNY Mellon.

Theme: Positioning Yourself for Growth


12:15 PM | 1 Hour 15 Minutes

Lunch


12:45 PM | 45 Minutes

Coffee and Dessert in the Exhibit Hall


1:45 PM | 1 Hour 45 Minutes

General Session

1:45 PM | 45 Minutes

Welcome and State of the Industry

Lisa Dolly, Chief Executive Officer, Pershing
Lori Hardwick, Chief Operating Officer, Pershing

2:30 PM | 1 Hour

Open Slot

3:30 PM | 30 Minutes

Networking Break


4:00 PM | 1 Hour

Breakout Session I

The 2016 Mutual Fund/ETF Landscape

Join us for an industry outlook on what's shaping the future of mutual fund and ETF development as firms and investors seek the lowest expense class of shares. You'll also hear about institutional and advisory growth.

Theme: Positioning Yourself for Growth

Equity Glass Half Full in 2016

This presentation will address the impact of the Fed's first rate hike in nearly a decade; the economic impact of U.S. dollar strength, plunging energy prices, and the manufacturing recession; concerns about a Chinese hard landing; and the uncertainty surrounding the presidential election cycle.

Sponsored by:

Theme: Positioning Yourself for Growth

Hacking the Crystal Ball: How Artificial Intelligence Augments Profitability

The litmus test for any new technology is whether it reduces friction or simply creates overhead. In this session we'll discover what artificial intelligence (AI) really is and how it's used to automate tasks, enhance client experiences and uncover rich data. We'll discuss engagement and recruitment of the next generation, and debug robo-advisor myths. You'll learn how to tell if a new technology will increase profitability or increase friction, and prepare your business to thrive in a data-driven economy.

Sponsored by:

Theme: Positioning Yourself for Growth

Liquid Alts 101: The Intersection Between Hedge Funds and Mutual Funds

Join us for a deep-dive education on the basics of the liquid alternative landscape and the role of alternative investments in client portfolios. Learn from experts who will provide multiple perspectives liquid alternatives and separate facts from popular misconceptions.

Theme: Positioning Yourself for Growth

Portfolio Construction: What Are the Alternatives?

Join us for a discussion on risk diversification with alternative investments in a rising rate environment. During the session, you'll learn how these strategies have performed through recent volatility and expectations for the balance of 2016.

Theme: Positioning Yourself for Growth

Senior Security—Preventing Fraud and Exploitation

The fraud perpetrated on our senior citizens has exploded. It is estimated that this kind of exploitation costs senior investors an estimated $2.9 billion annually. Learn more about how the industry and advisors are working to develop practices to identify problems and combat threats.

Theme: Positioning Yourself for Growth

Surprises From the DOL Fiduciary Ruling*

Now that the DOL fiduciary rule is law, what surprised us, what did we expect? Join us for a ruling recap and discussion on the practical application of the steps you should take to comply.

Theme: Decoding Risk, Regulation and Responsibility

Technology is in Fast Forward: Advance Your Practice's Digital Experience

The changes in the wealth management industry have forced advisors to consider how best to digitize their practices. During this session, you will hear insights from a recent technology advisor study conducted by the Aite Group and learn how you can use technology to enhance relationships and generate client loyalty.

Theme: Boosting Your Efficiency

What in the World Is Going On Out There?

How are U.S. markets behaving in an election year? Will volatility in the foreign markets stabilize? What will happen with interest rates? We don't have a crystal ball—but we do have top portfolio managers who will share their unique perspectives and strategies designed to enhance returns in your clients' equity allocations.

Theme: Positioning Yourself for Growth

Your Wealth Management Business: Making it Relevant Today and Tomorrow

Join Pershing and Cannon Financial experts to explore six significant changes in the industry that we anticipate will test the foundations of your practice. Learn how to meet these challenges and retain your value so you remain an essential part of your clients' financial lives.

Theme: Positioning Yourself for Growth


5:00 PM | 2 Hours

Reception in Exhibit Hall


Day Two Wednesday, June 8

7:30 AM | 1 Hour 15 Minutes

Breakfast in the Exhibit Hall


8:45 AM | 1 Hour 45 Minutes

General Session

8:45 AM | 45 Minutes

Transforming Our Industry

Moderator: Bloomberg Talent TBD
Suresh Kumar and Brian Shea TBD

9:30 AM | 1 Hour

A Conversation with Charlie Rose

Introduction: BNY Mellon | Dreyfus TBD
Moderator: TBD – Pershing Executive Committee Member
Charlie Rose, Host of PBS's The Charlie Rose Show, Charlie Rose-This Week; and Co-Host of CBS This Morning


10:30 AM | 30 Minutes

Networking Break


11:00 AM | 1 Hour

Breakout Session II

The 2016 Mutual Fund/ETF Landscape

Join us for an industry outlook on what's shaping the future of mutual fund and ETF development as firms and investors seek the lowest expense class of shares. You'll also hear about institutional and advisory growth.

Theme: Positioning Yourself for Growth

The DOL Fiduciary Proposal Explained*

The DOL fiduciary rule has accelerated the trend toward advisory programs. Join this discussion surrounding the rule and its potential revenue conflicts.

Theme: Decoding Risk, Regulation and Responsibility

Finding Alternative Avenues of Growth in a Volatile Environment

Where are investors searching for growth? BNY Mellon Investment Management, through their global multi-boutique approach, will offer multiple perspectives and diverse opinions on the search for growth. Experience a discussion on the changing landscape of the global economy and a debate on the effectiveness of current and future central banks policies. Learn about products that can help dampen volatility, maintain liquidity or offer stability in both risk and performance while enhancing growth prospects.

Sponsored by:

Theme: Positioning Yourself for Growth

Global Markets, Currency Hedging and the Next Generation of ETF Portfolio Solutions

Join RiverFront Investment Group as they offer perspective on the global markets, central banks, currency hedging strategies and the next generation of ETF portfolio solutions.

Sponsored by:

Theme: Positioning Yourself for Growth

Hear From Your Peers: What Does a Successful Retirement Plan Business Look Like?

How is your retirement plan business doing? How do you know? Join some of the most successful plan advisors in the business for a discussion of the secrets behind their success.

Theme: Boosting Your Efficiency

Liquid Alts 201: Deep Dive Into Liquid Alternatives

Discover more about liquid alternative strategies. This session will take you under the hood of liquid alternatives, focusing on specific strategies, fund companies and the sub-advisors they use to manage these solutions.

Theme: Positioning Yourself for Growth

Portfolio Construction: What Are the Alternatives?

Join us for a discussion on risk diversification with alternative investments in a rising rate environment. During the session, you'll learn how these strategies have performed through recent volatility and expectations for the balance of 2016.

Theme: Positioning Yourself for Growth

Transforming Big Data into Big Insights

Find out how top advisors are leveraging data to make smart decisions and position their practices for long-term growth through actionable analytics and interactive dashboards. Explore case studies that show how data impacts your practice, helps you stay ahead of the curve and helps you make smarter investments in your business.

Theme: Boosting Your Efficiency

Your Wealth Management Business: Making it Relevant Today and Tomorrow

Join Pershing and Cannon Financial experts to explore six significant changes in the industry that we anticipate will test the foundations of your practice. Learn how to meet these challenges and retain your value so you remain an essential part of your clients' financial lives.

Theme: Positioning Yourself for Growth

What in the World Is Going On Out There?

How are U.S. markets behaving in an election year? Will volatility in the foreign markets stabilize? What will happen with interest rates? We don't have a crystal ball—but we do have top portfolio managers who will share their unique perspectives and strategies designed to enhance returns in your clients' equity allocations.

Theme: Positioning Yourself for Growth


12:00 PM | 1 Hour 15 Minutes

Lunch


12:30 PM | 45 Minutes

Coffee and Dessert in the Exhibit Hall


1:30 PM | 1 Hour

Breakout Session III

Conflict Resolution as a Fiduciary: Leveled Compensation*

Join Pershing experts to learn how to use levelized compensation as a path to reduce conflicts. During the session, we will explore packaged solutions that support level compensation.

Theme: Decoding Risk, Regulation and Responsibility

Effective Onboarding the NextGen—Get Busy Growing

Looking to expand your team and boost performance? Join us for a discussion on multi-generational hiring and retaining strategies to expand the breadth of talent on your team along with techniques for nurturing loyal employees and building the right business strategy for high impact recruiting.

Theme: Building Strategic Relationships

Hear From Your Peers: What Does a Successful Retirement Plan Business Look Like?

How is your retirement plan business doing? How do you know? Join some of the most successful plan advisors in the business for a discussion of the secrets behind their success.

Theme: Boosting Your Efficiency

Key Lessons in Behavior and Team Leadership

There is no “I” in team. Today, teamwork and collaboration is the norm. This session will explore the cultural impact of leadership and behavior at all levels in an organization and share best practices in engaging and motivating individuals for top performance.

Theme: Building Strategic Relationships

LatAm Investors—Sharpening Their Focus on Global

Recent elections in Latin America, currency controls in Argentina and the continued recession in Brazil summon a broader more holistic approach to investing for LatAm clients. We'll be exploring these topics as well as the impact of the recent U.S. interest rate hike and China's slowing economic growth.

Theme: Positioning Yourself for Growth

The Latest Trends in Asset Allocation

Join a panel of expert investment managers who oversee institutional and individual assets across the globe. They will share thoughts on what is driving current institutional allocation models and how you can use these models for your investment strategies.

Theme: Positioning Yourself for Growth

The Simple Secret to Long-Term Investment Success

To beat the market you have to do something different than the market. Most managers can't beat the market every year--they will zig and zag differently. As the Advisor, do you understand the process behind the investment strategy you own for your clients? During difficult years, does the performance of the strategy make sense? The key to successful investing is to invest in a strategy that makes sense and stick with it. Of course, it's the "sticking with it" part that is tough. This session will provide investment and behavioral insight to help guide your clients to long-term investment success.

Sponsored by:

Theme: Positioning Yourself for Growth

There's Nothing "Fixed" About Fixed Income

Join us for a discussion on risk diversification with alternative investments in a rising rate environment. During the session, you'll learn how these strategies have performed through recent volatility and expectations for the balance of 2016.

Theme: Positioning Yourself for Growth

Transforming Big Data into Big Insights

Find out how top advisors are leveraging data to make smart decisions and position their practices for long-term growth through actionable analytics and interactive dashboards. Explore case studies that show how data impacts your practice, helps you stay ahead of the curve and helps you make smarter investments in your business.

Theme: Boosting Your Efficiency

What's Behind the Move to Unified Managed Accounts (UMAs)?

As demands on flexibility and efficiency have increased across advisory solutions, UMAs have become a go-to strategy. Learn about the latest developments and trends with UMAs and how they can help you deliver wealth management solutions to your clients.

Theme: Positioning Yourself for Growth


2:30 PM | 30 Minutes

Networking Break


3:00 PM | 1 Hour

Breakout Session IV

Cyber Crime: The Not-So-Social Network

You receive SEC Risk Alerts for a reason. You need tools and strategies to prepare for cybersecurity examinations. And how can you be sure you have adequate cybersecurity in your practice? Learn all about threats, compliance and sustainable solutions.

Theme: Decoding Risk, Regulation and Responsibility

DOL—What's in Your Best Interest?*

Join us to review the substantial requirements of the Best Interest Contract exemption (BIC) and obtain the information you need to identify a compliance platform that will help you comply with the exemption.

Theme: Decoding Risk, Regulation and Responsibility

ETF Strategies: Should You Go Active or Passive?

ETFs are becoming a bigger part of advisors' strategies. Join the discussion on active and passive investing strategies and how they align with ETFs and alternative solutions.

Theme: Positioning Yourself for Growth

Fiduciary Responsibility for Retirement Plans? The DOL Has New Rules for You

New regulations proposed by the Department of Labor may more clearly define your role as a fiduciary if you provide investment advice to plan sponsors. Are you up to speed? We'll discuss the responsibilities of an advisor, RIA and broker-dealer when serving as a fiduciary in the retirement plan market.

Theme: Decoding Risk, Regulation and Responsibility/Positioning Yourself for Growth

If You Build It, Will They Come? Trends in Portfolio Construction

If you're seeking better investor outcomes through the blending of high volume alpha and strategic low-cost beta funds and ETFs, join this session to discuss the best balance between active and passive strategies.

Theme: Positioning Yourself for Growth

The Latest Trends in Asset Allocation

Join a panel of expert investment managers who oversee institutional and individual assets across the globe. They will share thoughts on what is driving current institutional allocation models and how you can use these models for your investment strategies.

Theme: Positioning Yourself for Growth

The Most Powerful Trends in Wealth Management—Mergers and Acquisitions (M&A)

What's new with M&A deal making in the independent space? Are consolidators actively pursuing deals? Hear from our panel of experts as they explore how M&A activity often helps independent firms achieve four strategic objectives: economies of scale, access to new geographic markets, adding new skills and experience and enabling succession in ownership.

Theme: Positioning Yourself for Growth

Navigating Volatility

Is the heightened volatility and sluggish growth creating anxiety with clients? Expert panelist will discuss investment strategies to help navigate the volatility waters.

Sponsored by:

Theme: Positioning Yourself for Growth

The Rising Expectations of The Digital Investor

Investors demand custom, digital experiences across all channels. They want deeper engagement in the planning process and in their financial health. Learn how you can deliver an exceptional digital investor experience that meets high expectations (inclusive of mobile moments, anytime, anywhere connections) and the digital and physical platforms that can be leveraged to support the experience.

Theme: Boosting Your Efficiency

There's Nothing "Fixed" About Fixed Income

Rising rates are having an impact on bonds and other risk averse strategies. And what about inflation? Take part in a discussion that includes the global outlook.

Theme: Positioning Yourself for Growth

Wealth Transfer Strategies: What to Do With $30 Trillion

This session will discuss the expansive wealth transfer considerations for high-net-worth clients. The $30 trillion challenge is underway, and there are many facets to consider. This session will cover beneficiary designations for IRAs and other retirement accounts, including naming a trust, estate tax thresholds, generational selling, family meetings and more.

Theme: Boosting Your Efficiency


4:00 PM | 30 Minutes

Networking Break


4:30 PM | 1 Hour

General Session

Executive Leadership/Transformation/Disruptive Innovation Panel

Moderator: Charlie Rose, Host of PBS's The Charlie Rose Show, Charlie Rose-This Week; and Co-Host of CBS This Morning
George Blankenship, Former Executive at Tesla Motors, Apple and GAP, Inc.
Neil Blumenthal, Co-Founder, Warby Parker


7:00 PM | 4 Hours

Block Party at Pointe Orlando


Day Three Thursday, June 9

8:00 AM | 1 Hour

General Session with Breakfast

Political Outlook with Donna Brazile and Dana Perino

Donna Brazile, Vice Chair of Democratic National Committee; Renowned Political Strategist
Dana Perino, Former White House Press Secretary; Co-Host of Fox's The Five


9:15 AM | 1 Hour

Breakout Session V

All in the Family—Preparing for Wealth Transfers

You receive SEC Risk Alerts for a reason. You need tools and strategies to prepare for cybersecurity examinations. And how can you be sure you have adequate cybersecurity in your practice? Learn all about threats, compliance and sustainable solutions.

Theme: Decoding Risk, Regulation and Responsibility

Cyber Crime: The Not-So-Social Network

You receive SEC Risk Alerts for a reason. You need tools and strategies to prepare for cybersecurity examinations. And how can you be sure you have adequate cybersecurity in your practice? Learn all about threats, compliance and sustainable solutions.

Theme: Positioning Yourself for Growth

ETF Strategies: Should You Go Active or Passive?

ETFs are becoming a bigger part of advisors' strategies. Join the discussion on active and passive investing strategies and how they align with ETFs and alternative solutions.

Theme: Positioning Yourself for Growth

Fiduciary Responsibility for Retirement Plans? The DOL Has New Rules for You

New regulations proposed by the Department of Labor may more clearly define your role as a fiduciary if you provide investment advice to plan sponsors. Are you up to speed? We'll discuss the responsibilities of an advisor, RIA and broker-dealer when serving as a fiduciary in the retirement plan market.

Theme: Decoding Risk, Regulation and Responsibility/Positioning Yourself for Growth

Generating Referrals through Centers of Influence

In this session, you will learn how to create a healthy pipeline, conduct effective meetings and generate high quality referrals through professional centers of influence.

Sponsored by:

Theme: Positioning Yourself for Growth

If You Build It, Will They Come? Trends in Portfolio Construction

If you're seeking better investor outcomes through the blending of high volume alpha and strategic low-cost beta funds and ETFs, join this session to discuss the best balance between active and passive strategies.

Theme: Positioning Yourself for Growth

IRA Rollovers: Uncertainty for All

The IRA rollover environment is changing. Again. Join us for a detailed discussion to learn how DOL's fiduciary rule is driving change in the rollover space and what it means for you and your clients.

Theme: Decoding Risk, Regulation and Responsibility

Professional Management: Who to Keep and What to Pay

Discover the latest secrets behind human capital and performance management. You'll also learn about key compensation issues including base pay, short-term incentive and long term compensation.

Theme: Building Strategic Relationships

The Rising Expectations of The Digital Investor

Investors demand custom, digital experiences across all channels. They want deeper engagement in the planning process and in their financial health. Learn how you can deliver an exceptional digital investor experience that meets high expectations (inclusive of mobile moments, anytime, anywhere connections) and the digital and physical platforms that can be leveraged to support the experience.

Theme: Boosting Your Efficiency

Wealth Transfer Strategies: What to Do With $30 Trillion

This session will discuss the expansive wealth transfer considerations for high-net-worth clients. The $30 trillion challenge is underway, and there are many facets to consider. This session will cover beneficiary designations for IRAs and other retirement accounts, including naming a trust, estate tax thresholds, generational selling, family meetings and more.

Theme: Boosting Your Efficiency


10:15 AM | 30 Minutes

Networking Break


10:45 AM | 1 Hour 15 Minutes

Open Slot [TBD]


*Denotes that the session will be live streamed