Independent Broker Dealer Consortium

2020 IBDC Conference - Virtual

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.

Date: October 13-15, 2020
Where: Zoom Screen From the Comfort and Safety of your home
Past Conference

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.

Ibdc Alliance Members Who Have Presented Include

lilmorv

Lilian A. Morvay

(moderator) - IBDC RIAC
Michael Schwartzberg

Michael Schwartzberg

Winget, Spadafora & Schwartzberg
Eric A. Michaels

Eric A. Michaels

Founding Partner

Miles D. Hart

Founding Partner
Gary-Saretsky

Gary M. Saretsky

Founding Partner
Jennifer Stout

Jennifer Stout

President/CEO
Bob-Valker

Bob Valker

Capital Forensics
Gary Kessler

Gary Kessler

Founding partner, Kessler & Collins
mitch-avnet-4-500x500

Mitch Avnet

founder and Managing Partner
David A. Baugh

David A. Baugh

Co-Managing Partner
Brian-Cavanaugh

Brian Cavanaugh

Director – BD/ IA Practice
Jack Jennings

Jack Jennings

Executive Vice President – BD / IA Practice
Miriam-Lefkowitz

Miriam Lefkowitz, Esq

Expert/Securities Regulatory Attorney
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