CURRENT RISK ISSUES
SEMINAR
Sponsored By
November 25, 2014
Deloitte & Touche
30 Rockefeller Center
New York, NY
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 addressed to the National
Registry of CPE Sponsors, 150 Fourth Avenue North, Nashville, TN, 37219-2417. Web site: www.nasba.org.
THE FIDUCIARY AND INVESTMENT RISK MANAGEMENT ASSOCIATION, INC. (FIRMA™)
CURRENT RISK ISSUES SEMINAR
New York, NY ~ November 25, 2014
FIRMA is pleased to sponsor a one day Current Risk Issues Seminar in New York, on November
25, 2014. This seminar features lectures from recognized industry experts and topics specifically
covering current fiduciary risk issues.
The program content is designed to benefit risk
management professionals at all skill levels, including fiduciary risk managers and executives, as
well as audit managers and fiduciary compliance professionals. This program will provide seven
(7) continuing education hours.
Our full day program will begin with Mike Gorlicki and Vincent Mescia, Bank Examiners with
the Asset Management Group with the Office of the Comptroller of the Currency in New York.
They will provide an update on OCC initiatives and current examination criticisms in bank
fiduciary activities.
Following the OCC, we welcome Cris Naser, Senior Counsel with the ABA’s Center for
Securities, Trusts, and Investments. Cris will provide a not-to-miss update on current trust
legislative issues.
We will end the morning with Brad Davidson. Brad has recently completed a national survey of
the trust industry’s handling of unique and hard-to-value assets. Brad will share with attendees
the results of this important and critical survey and he will introduce best-practice disclosures
and solutions.
After lunch, we welcome Alex Ryan. Alex is a partner with Groom Law in Washington, DC.
Alex will provide an always valuable update on current ERISA issues.
Following Alex, we welcome the respected Ellen Zentner. Ellen is the Executive Director of
Morgan Stanley Research in New York. Attendees will receive an expert and vital update on
both domestic and global economic events, challenges, and trends.
We conclude our program with Jacklynn Barras. Jacklynn is with PNC’s Asset Management
Group in Philadelphia. Jacklynn will discuss and attendees will learn about the recent IRS
release regarding the unbundling of trust fees.
The program skill level for this seminar is rated “Intermediate.” Please refer to the “Seminar Information” section
of this brochure for the educational and/or advance prerequisites for this seminar. There are no advance
preparation requirements to be read or completed prior to attending this program.
THE FIDUCIARY AND INVESTMENT RISK MANAGEMENT ASSOCIATION, INC. (FIRMA™)
CURRENT RISK ISSUES SEMINAR
New York, NY ~ November 25, 2014
AGENDA
Tuesday, November 25, 2014
Continental Breakfast & Registration
7:30am to 8:15am
Welcome and Introduction
8:15am to 8:30am
Hale Mast, FIRMA
Current OCC Trust Initiatives
8:30am to 9:30am
Michael Gorlicki, OCC
Vincent Mescia, OCC
Trust Legislative Update
9:45am to 10:45am
Cris Naser, ABA
Unique Assets
11:00am to 12:00noon Brad Davidson, SPARDATA
Lunch (Provided)
12:00noon to 1:00pm
ERISA Hot Topics
1:00pm to 2:00pm
Alex Ryan, Groom Law
Economic Update
2:15pm to 3:15pm
Ellen Zentner, Morgan Stanley
Unbundled Trust Fees
3:30pm to 4:30pm
Jacklynn Barras, PNC
Adjourn
4:30pm
THE FIDUCIARY AND INVESTMENT RISK MANAGEMENT ASSOCIATION, INC. (FIRMA™)
CURRENT RISK ISSUES SEMINAR
New York, NY ~ November 25, 2014
Training
Location:
Deloitte & Touche
30 Rockefeller Center, 40th Floor
Empire Rooms A & B
New York NY 10111
Dress:
Business Casual, please - (No jeans, no tennis shoes)
CE Hours:
7 hours Group-Live credit for continuing education. CPEs are granted based upon a 50minute hour. There are no educational or advance prerequisites for this seminar. The
program skill level for this seminar is rated “Intermediate.”
Prerequisites: This program is rated Intermediate because of the educational and/or experience requirements as follows:
 Attendee should be a Certified professional; or
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Fees:
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 Cannon Financial Institute
or Campbell University, or an equivalent industry program; or
Attendee should have attended a previous FIRMA education program.
FIRMA Member $345; Non-Member $495
Seminar Registration Deadline:
Lodging:
Wednesday, November 7, 2014
FIRMA has a room block of 15 rooms at Club Quarters Rockefeller Center (25 West
51st). Please call Club Quarters Member Services at 203-905-2100. Attendees should
identify themselves with FIRMA and member company Federal Reserve Bank.
Reservations must be made by October 24, 2014. FIRMA’s member rate is $344.
Alternate area hotels: Crowne Plaza (1607 Broadway & 49th) 212-977-4000; The Hotel
Edison (228 W. 47th. & Broadway) 212-840-5000. FIRMA does not have room blocks at
these hotels.
CANCELLATION / REFUND POLICY:
Cancellations received prior to November 7, 2014, will be refunded in full. Cancellations received
November 7, 2014 through November 14, 2014, will be refunded subject to a $100.00 service charge.
Cancellations made after November 14, 2014, are not refundable.
FIRMA reserves the right to change speakers or reschedule or cancel sessions when necessary. FIRMA is
not responsible for any penalties (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 (678) 565-6211.
THE FIDUCIARY AND INVESTMENT RISK MANAGEMENT ASSOCIATION, INC. (FIRMA™)
CURRENT RISK ISSUES SEMINAR
New York, NY ~ November 25, 2014
REGISTRATION FORM
Full Name: ________________________________________________________________
Nickname (for name badge): __________________________________________________
Title: ____________________________________________________________________
Employer: ________________________________________________________________
Business Address: __________________________________________________________
City: ________________________________ State: ________ Zip Code: ____________
Phone: (
) _________________________ Fax: (
) _________________________
Email: ___________________________________________________________________
Conference Fee: (Choose One)
_________ $345.00 FIRMA Member
_________ $495.00 Non-Member
Payment Method: (Choose One)
_________ Payment is enclosed (make check payable to “FIRMA”)
_________ Please bill me
_________ Please charge my credit card (AmEx/Visa/MC/Discover):
Card #: __________________________________________________________________________
Exp. Date: ______________
Security Code:: __________________
Cardholder’s Signature: _____________________________________________________________
Mail, email, or fax this page and advance payment by November 7, 2014 to:
Amy Caple
FIRMA Office (New York Seminar)
PO Box 507
Stockbridge, GA 30281
(678) 565-6211 Telephone
(678) 565-8788 Fax
[email protected]
Or register online at www.thefirma.org