2020 IBDC Conference - Virtual - Independent Broker Dealer Consortium

Welcome

Described by industry thought leaders as the best risk management conference, IBDC-RIAC will again be addressing the myriad of issues and concerns of IBDs and RIAs in its 3-day virtual conference scheduled for October 13-15.

During this conference, you will be hearing from best in class defense securities attorneys, compliance, regulatory, cybersecurity, and insurance experts about real-time issues that impact your business and employable measures to successfully respond to these challenges.Moreover, this will be the first time that you will also hear from "the other side" during a special presentation with experts who regularly testify on behalf of claimants.

Don't miss this unparalleled conference that will offer you valuable tools that will positively impact and protect your businesses on a virtual platform that will enable you to network with other attendees and the experts.

Our Risk Management Topics Will Include:

Dual registrant issues

Regulatory Update

Recent disciplinary actions, and current regulatory focus

Recordkeeping challenges for 3(21) and 3(38) advisors

Hot Topics in light of the market volatility and the corona virus

Update of current alternative product litigation

Reg BI Audit Findings

Frauds perpetrated on the elderly and vulnerable clients

Recent FINRA exam experiences

Reg BI Redux

Effective virtual branch audits that satisfy and exceed FINRA's requirement

Deciphering PPMs and Product Selling Agreements....and much more

We will be facilitating and encouraging networking with our virtual event platform, offer attendees an opportunity to have one on one consultations with our IBDC Alliance members and may just have a little fun along the way.