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Investment Advisor Symposium

September 17 @ 10:00 am – 4:00 pm

Investment Advisors…save the date. 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.

$35.00
Get tickets HERE

AGENDA

9:30 AM

Check-in

10:00 AM

Welcoming Remarks
Kirsten Madsen, CSI Interim Deputy Securities Commissioner

10:15 AM

Keynote Speaker
Marshall Gandy, Senior Officer, SEC Investment Adviser/Investment Company Program Director

10:45 AM

Montana RIAs at a Glance
Ryan Sullivan, CSI Securities Examiner/Investigator

11:00 AM

Financial Abuse Specialist Team (FAST)
Ryan Sullivan, CSI Securities Examiner/Investigator
Chris McConnell, CSI Attorney

11:45 AM

 Break

12:00 PM

Changing Perspectives: How to Remedy Investors’ Fears about Retirement
Blair Stapleton, CSI Investor Education Coordinator 

12:30 PM

Lunch

1:30 PM

What to Expect When You’re Expecting Your Regulator 2.0
Jennifer Adkins, CSI Securities Examiner/Investigator

2:15 PM

Meet Your Regulator: A Chance to Talk On-on-One with CSI Examiners

3:00 PM

Wrap Up

Commissioner of Securities and Insurance, Montana State Auditor

406.444.2040

View Organizer Website

Montana State University Ballroom B/C

751 W Grant Street (Sub Ballroom B)
Bozeman, MT 59715 United States + Google Map