
2023 CSI Investment Adviser Symposium
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