ANNUAL CONFERENCE

Tuesday, September 26 – Thursday, September 28, 2017

2017 Conference Information

ABOUT IBDC

The Independent Broker Dealer Consortium, “IBDC”, was created in 2007 with the first annual risk management conference, which addressed, and continues to address, the issues and concerns of the independent broker dealer, “IBD”, and the Registered Investment Advisor, “RIA” communities. Attendees of the conferences maintain that the IBDC conferences are of the highest quality as the content, the legal talent, the camaraderie amongst the attendees, and the topnotch venues are unrivaled. Lilian has identified a need of the IBD and RIA communities for experienced support in the areas of litigation, regulation, compliance, cyber security and due diligence. She has assembled the best talent in the legal, compliance and cyber security industries nationwide to provide this support. Another area of paramount importance to IBDs and RIAs is the scope of professional liability protection available under Errors and Omissions, “E & O”, policies. Professional Liability insurance is one of the most expensive and one of the most important purchases that an IBD, an RIA and its registered representatives and registered investment advisors make. It is of paramount importance that the professional liability insurance policy provides the scope of protection needed and expected. Of equal importance is the placement of cyber security insurance. With the increased complexity of technology, new risks and exposures develop, which if uninsured, may seriously impact an IBD and RIA. IBDC is dedicated to providing access to specialists in legal, compliance as well as cyber security to give you the peace of mind to focus on your business. Lilian has developed an expertise in IBD professional liability insurance, and approaches E & O insurance from a claims as well as from an underwriting perspective. Lilian is a frequent speaker at national industry events on the topics of risk management and professional liability insurance.

LILIAN A. MORVAY

LILIAN A. MORVAY

Principal

Meet Lilian Morvay

With the heightened regulatory climate and the increasing complexity of investment vehicles, Independent Broker Dealers and Registered Investment Advisors must invest in sophisticated compliance, supervisory and educational platforms in order to compete in this industry. Many IBDs and RIAs do not have the internal support or the resources to do so. The IBDC conference addresses the paramount business and legal concerns of this community by offering valuable and timely information presented by experts in the industry. These experts are also available to provide legal, compliance, regulatory, cyber security and training services, when the need arises.

 

Participation at the IBDC conferences provides opportunities for the decision makers to see our experts in action and to engage with them on a professional as well as on a personal level.

The IBDC seminars are designed to address the pressing issues IBDs and RIAs are faced with, which include; the impact of the new DOL rule, preparing for SEC and FINRA audits, whether to allow the sale of alternative products, how best to document a client’s file who may be suffering from diminished capacity, and how to protect against a breach in security, to name a few. The attending CCOs, CEOs and Risk Managers of IBDs and RIAs take away effective solutions that may be readily integrated into their business practices.

ON THE AGENDA

+ Alternative Products + Claim Trends + Cyber Liability Exposure and Protection + SEC and FINRA Hot Topics + Impact of the New DOL Rule + Selling Techniques to Women By Women + Succession Planning + Handling the Accounts of the Elderly + More

TOPICS + ISSUES

  • TECHNOLOGY DEMONSTRATIONS 75%
  • COMPLIANCE TOOLS 60%
  • SURVEILLANCE TOOLS 70%
  • RESEARCH 45%

ANNUAL IBDC CONFERENCE

Click Here to view IBDC 2016 Conference Content.

Attendance at the IBDC conference is by invitation only and is selectively offered to Chief Executive Officers, Chief Compliance Officers, Risk Management Officers, and Due Diligence Officers of major national IBDs and RIAs. With the heightened compliance and regulatory oversight of State and Federal agencies, IBDs and RIAs must not only be aware of rules governing their professional activities, they must be prepared to defend their actions. IBDC conferences are located in prestigious resorts around the country where conference attendees are offered luxurious accommodations, a range of sports-inspired, culturally interesting and relaxing activities, as well as the valuable opportunity to network with professionals who thoroughly understand the Independent Broker Dealer and Registered Investment Advisory industries. You will hear from Subject Matter Experts from around the country and learn tools to avoid arbitration and litigation, and offer the necessary support in the event an IBD and RIA is faced with a claim.

September 26 – September 28, 2017

LOCATION + ACCOMMODATIONS

The Ritz-Carlton

Welcome to The Ritz-Carlton in beautiful Rancho Mirage, Palm Springs, CA. The Ritz-Carlton, Rancho Mirage is one of the most esteemed luxury resorts in Palm Springs, CA, an elegant retreat where both palm trees and snow-capped mountain views provide a delightful visual choice.

CONFERENCE SPONSORS

Diamond Sponsor

Platinum Sponsors

Integro
Freeman Mathis & GaryMurphy & McGonigle
Compliance Risk Concepts
Freeman, Freeman and Smiley