Tuesday, March 13, 2012
12:30-6:00 p.m. (Networking Reception: 6:00-7:00 p.m.)
3 West Club
3 West 51st Street, New York, NY

Event Description

Join the industry's leading broker-dealer and financial planning executive community for an afternoon of thought-provoking presentations, impactful discussions, and ample networking opportunities. This year's summit includes regulatory insights, an expert practice management panel, fresh research on investor trust and trends, and updates on Major Firms Initiative projects.

Agenda At-A-Glance

Click here to access the detailed agenda.

12:30 p.m. - Registration opens
1:00-1:15 p.m. - Event Kickoff
1:15-2:15 p.m. - Regulation Focus
Andrew "Buddy" Donohue will address key regulatory issues including the continued challenges around anticipated fiduciary regulation, SRO, Dodd-Frank, SEC exams, and 2011 regulatory activities in review.
2:15-2:30 p.m. - Networking Break
2:30-3:30 p.m. - Practice Management Focus: Transitions
Philip Palaveev and Richard Whitworth will focus on how to help your adviser network successfully navigate tricky transitions including moving from an investment advice to financial planning model and serving cross-generational clients.
3:30-3:45 p.m. - Networking Break
3:45-5:00 p.m. - What Drives Investor Trust?
Join us as Sullivan and Northstar Research Partners share expert insights from their ongoing research on investor trust. This engaging session will reveal trends in affluent investors' emotions, their biggest worries, and the key drivers behind their satisfaction and loyalty. Plus, Sullivan and Northstar will provide a sneak preview of the third edition's new modules along with their hypotheses for the results. This highly anticipated study will help you better understand today's investors, and how you can position your firm to succeed.
5:00-5:10 p.m. - Networking Break
5:10-5:45 p.m. - Industry Needs Findings
FPA's Industry Needs & the Large Firm committee will present initial findings on industry-wide challenges and ask for your input.
5:45-6:00 p.m. - Who is a Financial Planner
FPA's major firms Defining Financial Planning committee will provide the framework and a copy of a draft document outlining recommended minimum standards and best practices for your review and input.
6:00-7:00 p.m. - Reception

Registration

Registration is complimentary for large firm executives who fit the attendee profile. Download and submit the application form (PDF) to register.