FSI Exchange

MONDAY, JULY 18

1:00 – 2:15 p.m. • General Session

Welcome

Dale Brown, President & CEO, Financial Services Institute

FSI Advocacy Update

Washington Update: The World Keeps On Spinning with Andy Friedman
Sponsored by Sammons Institutional Group®

Real-world events and the legislative calendar continue to upend strategies and reorder priorities at a break-neck pace. The ongoing Covid pandemic, inflation, supply chain challenges, labor shortages, and simmering conflict with Russia are all playing out as the midterm U.S. elections draw close. A development with any one of these could dramatically impact the outlook for taxes, markets, and the economy.

In his Washington Update, Andy Friedman delivers a nonpartisan, comprehensive review of the current political and economic landscape and its potential effects on taxes and investing.

Andy will detail proposed tax changes, how likely they are to pass, and how to prepare for them. He’ll offer insights for investors and advisors who are working to mitigate volatility. Finally, he will cover the groundwork to lay now for effective investment, wealth transfer, and retirement planning as we move into an uncertain future.

2:30 p.m. – 4:00 p.m. • Afternoon Concurrent Sessions

SEC and FINRA Enforcement Developments: What has Changed and What’s Ahead?

About a year into new leadership at the Commission and in the Enforcement Division, what has changed in the SEC Enforcement Division and its approach to cases? This session will provide an overview of the enforcement process and describe how both the SEC and FINRA open and bring cases and the process each uses once cases are in Enforcement. A panel of legal experts will discuss cases of interest to our industry and recent trends that may preview what may be ahead, including regulatory interest in Regulation Best Interest.

Panelists will include:

• Peter Chan, Partner, Baker & McKenzie LLP
• Russell M. Fecteau, Of Counsel, Morgan, Lewis & Bockius LLP
• Susan Schroeder, partner, Vice Chair, Securities & Financial Services Department, WilmerHale
• Moderator: Robin Traxler, Senior Vice President, Policy & Deputy General Counsel, Financial Services Institute (FSI)

HR Workshop: Engagement Insights: Strategies & Trends in a Changed Workplace

Join members of the FSI HR Council as we dive into engaging employees in a hybrid work environment. We’ll hear from an expert panel on the proven steps put into place for the current “state of play” to create a conducive setting for teams back at the office while reenergizing their virtual workforce. Together we will review multiple studies covering what has worked well, not so well and save plenty of time for our seasoned panel to answer all your burning questions.

TUESDAY, JULY 19

1:00 p.m. • General Session

Creating Mentorships and Career Paths for Young People in Underserved Communities

Dale Brown, President & CEO, Financial Services Institute
Tim Stinson, President, Cetera Advisor Networks & FSI Board Member

In a short, high-impact conversation, Tim Stinson will share how Cetera engaged with INROADS to help achieve its talent objectives and source next-gen talent. INROADS is an organization with programs to advance the professional success of young people from ethnically diverse backgrounds. The FSI and INROADS partnership can aid your firm in creating mentorship and career paths.

1:15 – 3:00 p.m. • Roundtable Discussions*

Connect with and learn from peers as you discuss ideas and solutions for challenges facing our industry.

Topics:

• Building an Effective Remote Corporate Culture
• SEC Marketing Rule
• Work Automation: Filling the Unwanted Tasks
• Recent SEC & FINRA Examination Experiences
• Technology: Current Do-It Yourself Platforms
• Navigating the Competitive Labor Market

*Discussions are open to FSI Firm Executive members, Ambassador Sponsors and Premier Sponsors only

WEDNESDAY, JULY 20

1:00 – 3:00 p.m. •  Advancing Women in Leadership Workshop

Creating Effective Sponsorship Programs
Sponsored by Fidelity

Dr. Summer Allen, The Center for Workforce Excellence

Investing in those who follow in your footsteps is key to defining a legacy and creating a better future. Your time and attention create opportunities for younger people and junior staff, as you pass on skills and open doors to your professional network.

While formal or informal mentorship is valuable, a sponsorship is better defined for both the sponsor and the sponsored person. A sponsor steps up to actively advocate, shining a spotlight on the sponsored person’s successes and endorsing them for advancement. Research shows that sponsorship is one of the best retention strategies that a company can deploy. The sponsored person fulfills a significant commitment throughout the selection process and the sponsorship program. A sequence of strategic touchpoints guides the sponsored person, aids the sponsor in growing their role, and elevates the firm as an agent of D&I change.

This workshop offers conversations and exercises that will help you design and implement a sponsorship program that fosters not just individuals but also broad positive awareness. You’ll leave empowered and equipped with practical steps to get started immediately!

MONDAY, JULY 18

1:00 – 2:15 p.m. • General Session

Welcome

Dale Brown, President & CEO, Financial Services Institute

FSI Advocacy Update

Washington Update: The World Keeps On Spinning with Andy Friedman
Sponsored by Sammons Institutional Group®

Real-world events and the legislative calendar continue to upend strategies and reorder priorities at a break-neck pace. The ongoing Covid pandemic, inflation, supply chain challenges, labor shortages, and simmering conflict with Russia are all playing out as the midterm U.S. elections draw close. A development with any one of these could dramatically impact the outlook for taxes, markets, and the economy.

In his Washington Update, Andy Friedman delivers a nonpartisan, comprehensive review of the current political and economic landscape and its potential effects on taxes and investing.

Andy will detail proposed tax changes, how likely they are to pass, and how to prepare for them. He’ll offer insights for investors and advisors who are working to mitigate volatility. Finally, he will cover the groundwork to lay now for effective investment, wealth transfer, and retirement planning as we move into an uncertain future.

2:30 p.m. – 4:00 p.m. • Afternoon Concurrent Sessions

SEC and FINRA Enforcement Developments: What has Changed and What’s Ahead?

About a year into new leadership at the Commission and in the Enforcement Division, what has changed in the SEC Enforcement Division and its approach to cases? This session will provide an overview of the enforcement process and describe how both the SEC and FINRA open and bring cases and the process each uses once cases are in Enforcement. A panel of legal experts will discuss cases of interest to our industry and recent trends that may preview what may be ahead, including regulatory interest in Regulation Best Interest.

Panelists will include:

• Peter Chan, Partner, Baker & McKenzie LLP
• Russell M. Fecteau, Of Counsel, Morgan, Lewis & Bockius LLP
• Susan Schroeder, partner, Vice Chair, Securities & Financial Services Department, WilmerHale
• Moderator: Robin Traxler, Senior Vice President, Policy & Deputy General Counsel, Financial Services Institute (FSI)

HR Workshop: Engagement Insights: Strategies & Trends in a Changed Workplace

Join members of the FSI HR Council as we dive into reengaging employees returning to the office. We’ll hear from an expert panel on the proven steps they have put into place to create conducive work environments welcoming their teams back. They will cover what has worked well (and not so well) and save plenty of time for our seasoned panel to answer all of your burning questions.

TUESDAY, JULY 19

1:00 p.m. • General Session

Creating Mentorships and Career Paths for Young People in Underserved Communities

Dale Brown, President & CEO, Financial Services Institute
Tim Stinson, President, Cetera Advisor Networks & FSI Board Member

In a short, high-impact conversation, Tim Stinson will share how Cetera engaged with INROADS to help achieve its talent objectives and source next-gen talent. INROADS is an organization with programs to advance the professional success of young people from ethnically diverse backgrounds. The FSI and INROADS partnership can aid your firm in creating mentorship and career paths.

1:15 – 3:00 p.m. • CEO Discussion

Connect with and learn from other firm CEOs and top executives during our next CEO Discussion. We’ll discuss ideas and solutions for challenges facing your firm and our industry. Topics include:

• What are the emerging needs of Gen X and Gen Y clients, and how will firms and advisors meet those needs?
• How do firms go beyond current technology platforms to a full digital experience for clients?
• What will successful firms’ tech stacks include, and how will they be built?

WEDNESDAY, JULY 20

1:00 – 3:00 p.m. • Advancing Women in Leadership Workshop

Creating Effective Sponsorship Programs
Sponsored by Fidelity

Dr. Summer Allen, The Center for Workforce Excellence

Investing in those who follow in your footsteps is key to defining a legacy and creating a better future. Your time and attention create opportunities for younger people and junior staff, as you pass on skills and open doors to your professional network.

While formal or informal mentorship is valuable, a sponsorship is better defined for both the sponsor and the sponsored person. A sponsor steps up to actively advocate, shining a spotlight on the sponsored person’s successes and endorsing them for advancement. Research shows that sponsorship is one of the best retention strategies that a company can deploy. The sponsored person fulfills a significant commitment throughout the selection process and the sponsorship program. A sequence of strategic touchpoints guides the sponsored person, aids the sponsor in growing their role, and elevates the firm as an agent of D&I change.

This workshop offers conversations and exercises that will help you design and implement a sponsorship program that fosters not just individuals but also broad positive awareness. You’ll leave empowered and equipped with practical steps to get started immediately!