CURRENT RISK ISSUES SEMINAR Sponsored By October 3 & 4, 2013 Key Center Cleveland, Ohio 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.
FIRMA is pleased to sponsor a two-day Current Risk Issues Seminar in Cleveland, Ohio, on October 3 & 4, 2013. 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 eight (8) continuing education hours. Our first day program will begin with Dick Sadler, Managing Director for Oil &Gas with US Trust in Dallas. Please join Dick for an interactive discussion of managing today s Oil and Gas Interests, including a discussion of the hot topic of fracking. Attendees will learn about the key challenges involved with the administration of these specialty assets. Dick will also review his own checklist for managing oil and gas risks. Following Dick, we welcome Alex Ryan. Alex is a partner with Groom Law in Washington, DC. Alex will provide a valuable update on current ERISA issues. We will end the afternoon with Bill Norris, Managing Director and Chief Investment Officer for The Private Bank in Chicago. Bill will provide an always engaging discussion about the Top 10 risks in fiduciary / wealth portfolio management. On Friday, October 4 th, we begin our morning with Nanna Goodfellow. Nanna is a National Bank Examiner with the Office of the Comptroller of the Currency in New York. Nanna will provide an update on OCC initiatives and current examination criticisms in bank fiduciary activities. Following Nanna, we welcome Chris Carosa. Chris is the Chief Contributing Editor for Fiduciary News in NJ. Attendees will learn What is a Fiduciary (the DOL Definition, the legal definition and the marketing definition); where are the greatest fiduciary liability risks among different service providers; how do different vendor arrangements increase/decrease fiduciary liability; why it's important to know the answer to these questions right now! We conclude our program with Kevin Whalen, Chief Fiduciary officer with Fifth Third Bank in Cincinnati. Kevin will lead a discussion and attendees will learn about the new wave of challenges and risks in trust operations. 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.
AGENDA Thursday, October 3, 2013 CLEVELAND, OHIO Seminar Registration 12:00noon to 1:00pm Welcome and Introduction 1:00pm to 1:10pm Ally Kidik, Key Bank Risk Mgmt. of Oil & Gas Interests 1:10pm to 2:15pm Dick Sadler, US Trust Bob Maxwell, US Trust ERISA Update 2:30pm to 3:30pm Alex Ryan, Groom Law Top 10 Risks in Portfolio Mgmt. 3:45pm to 4:45pm Bill Norris, The Private Bank Friday, October 4, 2013 Continental Breakfast 7:30am to 8:00am Current OCC Trust Initiatives 8:00am to 9:00am Nanna Goodfellow, OCC 401(k) Fiduciary Liability in a 9:15am to 10:15am Chris Carosa, Fiduciary Multi-Vendor Environment News Trust Operations Risks 10:30am to 11:45am Kevin Whalen, Fifth Third Adjourn 11:45am
REGISTRATION INFORMATION Training Location: Directions: Parking: Dress: Key Center 9th Floor - R.W. Gillespie Conference & Education Center Case Western Auditorium, 127 Public Square Cleveland, Ohio 44114 See next page Parking is available at the Marriott adjacent to Key Center for approximately $20.00 per day. Business Casual, please - (No jeans, no tennis shoes) CE Hours: 8 hours Group-Live credit for continuing education. CPEs are granted based upon a 50- minute 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 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. Fees: FIRMA Member $325; Non-Member $475 Seminar Registration Deadline: Friday, September 13, 2013 Lodging: Attendees must make hotel reservations individually. FIRMA has a room block at the Marriott Key Center. Please call reservations at (216) 696-9200 or (888) 236-2427. Attendees should identify themselves with FIRMA and ask for the KeyBank Room Block. FIRMA s group rate is $129. Reservations must be made by September 11, 2013. Alternately, the Doubletree Hotel is located nearby at 1111 Lakeside Avenue. For reservations, call (216) 241-5100. Please note: FIRMA does not have a room block at the Doubletree. CANCELLATION / REFUND POLICY: Cancellations received prior to September 13, 2013, will be refunded in full. Cancellations received September 13, 2013 through September 20, 2013, will be refunded subject to a $100.00 service charge. Cancellations made after September 20, 2013, 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.
Directions to THE DOWNTOWN MARRIOTT HOTEL AT KEY TOWER CLEVELAND, OHIO YOUNGSTOWN / PITTSBURGH Take I-76 to the Ohio Turnpike (I-80) Follow the Turnpike West to Exit 11 Take I-77 North to the Innerbelt (convergence of I-71, I-77, & I-90) Exit at East 9th Street north to St. Clair Turn left onto St. Clair The Marriott will be 2 blocks west, on the left COLUMBUS / CINCINNATI Take I-71 North to the Innerbelt (I-71, I-77, & I-90) Exit at Ontario Street Follow Ontario St. north to St. Clair The Marriott is on the corner of Ontario and St. Clair (on the right SE corner) AKRON / CANTON Take I-77 North to the Innerbelt (I-71, I-77, & I-90) Exit at East 9th Street Follow East 9th Street north to St. Clair Turn left onto St. Clair The Marriott will be 2 blocks west on the left TOLEDO / DETROIT Take I-75 South to the Ohio Turnpike (I-80) Follow the Turnpike East to I-90 (Exit 8a) Take I-90 East to the Innerbelt (I-71, I-77, & I-90) Exit at Ontario Street Follow Ontario Street north to St. Clair The Marriott is on the corner of Ontario and St. Clair (on your right SE corner) Underground parking facility located just east of the hotel on the south side of St. Clair Street opposite the Public Auditorium (Convention Center). The Marriott Hotel is attached to the Key Tower, which is the tallest building in the city and easily recognizable as such from afar. If landmarks work better than directions, just head toward the Tower. You can t miss it and will find the hotel directly behind Key Tower.
Cleveland, OH ~ October 3 & 4, 2013 REGISTRATION FORM Full Name: Nickname (for name badge): Title: Employer: Business Address: City: State: Zip Code: Phone: ( ) Fax: ( ) Email: Conference Fee: (Choose One) $325.00 FIRMA Member $475.00 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 September 13, 2013 to: Amy Caple FIRMA Office (Cleveland Seminar) PO Box 507 Stockbridge, GA 30281 (678) 565-6211 Telephone (678) 565-8788 Fax amy@thefirma.org Or register online at www.thefirma.org