2023 CSI Investment Adviser Symposium

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The CSI Investment Adviser Symposium seeks to update Investment Advisers on examination trends, marketplace and regulatory developments, and other topics of interest to financial professionals.  As Montana has not adopted IAR CE, there will not be credit available.  However, following the presentations, our examiners will be available to meet with anyone who wants on an individual basis to answer questions you may have about your business model, fees, Form ADV, expansion, or any other topic.

AGENDA

9:30 AM–10:00 AM           Registration

10:00 AM–10:15 AM        Welcome Remarks (Commissioner Troy Downing)

10:15 AM–10:30 AM        Division Priorities (Brett Olin, Deputy Securities Commissioner)

10:30 AM–11:15 AM        Generational Investing: Analyzing the Role that Age Plays in Financial Decision-Making (Blair Stapleton, Investor Education Coordinator)

11:15 AM–12:00 PM        Form ADV: Disclosures, Updates, and Fee Structures (Ryan Sullivan, Examiner/Investigator)

12:00 PM–1:00 PM           Hosted luncheon

1:00 PM–1:20 PM             Examination Basics: An Overview of CSI Expectations Regarding Examinations (Jennifer Adkins, Examiner/Investigator)

1:20 PM–1:50 PM             Examination Enforcement: What Triggers Legal Referrals? (Patrick Murphy, Examiner/Investigator)

1:50 PM–2:15 PM             Legislative Updates and Coming Changes: What Lies on the Horizon for the CSI & Opportunity for Attendees to Provide Insight on                                                                                                Regulatory Changes They Would Like to See (Brett Olin, DSC)

2:15 PM–3:00 PM             New Products, New Models: Exploring FinTech and Nontraditional Portfolios (Drew Cziok, Attorney; Brett Olin, DSC)

3:00 PM–4:00 PM            Meet Your Regulator: A Chance for One-on-One Discussions & Opportunity to Ask Any Pressing Questions You Have About Your Business                                                                              or Disclosures