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2019 Compliance Update: Protecting Your Firm in a Complex Environment Why attend: Stay on top of the latest regulatory changes and issues to manage compliance and safeguard your firm. Session details: As the regulatory oversight environment continues to evolve, advisors must keep abreast of changing conditions to manage compliance risk. Learn about the latest developments and what to watch for, including: Recent developments in technology, privacy and cybersecurity   SEC’s continued focus on senior and vulnerable investors   New developments in regulation best interest Data in regulation and compliance 75 Minutes - Education Session | John Walsh, Eversheds Sutherland, LLP
Anticipating the Test: Preparing for 2019 SEC Examinations Why attend: Through case studies and interactive dialogue, attendees will gain insight into this year’s SEC examination and compliance priorities and how you can best prepare. Session details: Are you ready for your next SEC exam? The SEC’s Office of Compliance Inspections and Examinations issues Risk Alerts to remind advisors of their regulatory responsibilities and educate firms on how to advance their compliance efforts. Recent Risk Alerts have focused on issues such as cybersecurity, safeguarding, disclosures related to fees and expenses, and senior investor issues, all of which are likely to appear on the next exam. In this session you will learn about: This year’s emphasized areas of focus, including Regulation S-P, the new California Consumer Privacy Act, cybersecurity, senior investor protections, advisory fees and expenses, and performance advertising Internal controls firms should consider implementing based on best practices outlined in the Risk Alerts for successfully managing compliance SEC focus areas and how to prepare for your next examination  1.5 Hours - Extended Education | Michelle Jacko, Jacko Law Group, PC
Becoming a Forward-Thinking Advisor Why attend: Discover how to prepare your firm for the future by developing a strong culture that drives value and differentiates your business. Session details: Forward-thinking advisors have one thing in common: They know how to build strong cultures that empower their firms. Being forward thinking also means knowing how to grow your enterprise value—whether vertically by adding more clients or horizontally by offering more services—and foster solid succession planning. A subject-matter expert will discuss why: A strong culture, team building, and recruiting are critical for creating efficiency Focusing on results will add value for clients and boost your enterprise value Adopting and experimenting with innovative technology can help you stand out from the competition and pave the way to a successful future 75 Minutes - Education Session | Larry Miles, AdvicePeriod
Build, Buy or Follow: The Three Most Valuable Insights from 22,000 Aladdin Portfolio Consultations Why attend: Drawn from consulting on 22,000 portfolios, learn practical insights from real-world advisor case studies to help your clients meet their goals. Session details: Most portfolios have done well over the past decade-long bull market.  The question on everyone’s mind is if your clients have the right portfolios for the next decade.  Over the past two years, we analyzed more than 22,000 portfolios for 1,700 advisors. Discover how to: Factor in your portfolios’ factor weighting Manage longevity risk in clients’ portfolios and asset allocation Compare your portfolio versus your peers Incorporate environmental, social, and governance insights into proposals Scale your firm with commission-free model portfolios designed for Schwab’s platform   75 Minutes - Education Session | Martin Small, BlackRock
Brett Mossman, BlackRock
Building Better Portfolios with Behavioral Finance Why attend: Gain insight into behavioral finance principles and how you can apply them in portfolio solutions to help keep clients on track, while improving your value proposition in the process. Session details: Studies show that demographic and social influences affect investing choices. With a behavioral finance-focused approach to portfolio construction, advisors can help mitigate the potentially negative effects of biases,and ultimately help foster more constructive client behavior. In a panel discussion, three subject-matter experts will offer insights into how behavioral finance can enhance portfolio solutions along with practical and actionable strategies to help manage client biases. Discover: How advisors are incorporating behavioral finance in portfolio construction decisions and client interactions Practical tips for employing behavioral finance concepts and how they can help generate better client outcomes Investment strategies and asset allocation approaches that can help keep clients on track and shield them from their worst impulses   Charles Schwab Investment Management is an affiliate of Charles Schwab & Co., Inc. and a subsidiary of The Charles Schwab Corporation. For Institutional Use Only. The Schwab Center for Financial Research (SCFR) is a division of Charles Schwab & Co., Inc. Henry Lao and Mercer Advisors are not affiliated with Charles Schwab Investment Management, Charles Schwab & Co or the Charles Schwab Corporation. (0919-9KET) 75 Minutes - Education Session | Omar Aguilar, Charles Schwab Investment Management, Inc.
Greg Laurence, Charles Schwab & Co., Inc.
Mark Riepe, Charles Schwab & Co., Inc.
Build on Your Clients’ Passions: A Value-Driven Strategy for Charitable Giving Why attend: Gain new insight into implementing charitable giving strategies for your clients and find out how a new philanthropy toolkit can help. Session details: Charitable planning is a popular value-added service that advisors provide to high-net-worth clients, who are increasingly requesting guidance on philanthropic planning as part of their wealth management strategies. Learn about a philanthropy toolkit designed by Stanford University in partnership with Schwab Charitable that gives advisors and their high-net-worth clients a structure for philanthropic conversations. Discover: How to expand your relationships with high-net-worth clients through charitable planning Tactics for offering strategic guidance on charitable giving Ideas for extending the conversation beyond tax-driven topics into the value-driven aspects of charitable planning 75 Minutes - Education Session | Kim Laughton, Schwab Charitable
Stephanie Diamond, Charles Schwab & Co., Inc.
Nadia Roumani, Stanford Center on Philanthropy and Civil Society
Caution! Low-Level Bridge Ahead: Medicare, Custodial Care and the Impact on Retirement Income Why attend: Medicare surcharges, the taxation of Social Security, and early retirement all impact the amount of retirement income and how long that income will last. Learn to create prudent accumulation and withdrawal strategies to keep clients under critical tax thresholds to increase and extend retirement income. Session details: Are you ready to help your clients transition to retirement? As they move down that path, they’ll require some combination of qualified accounts, Social Security benefits, an investment portfolio, and possibly a pension. You’ll need to create prudent accumulation and withdrawal strategies so your clients can remain under critical tax thresholds and increase their retirement income. This session will explore: The effect of provisional income on Social Security Medicare taxation and its impact on retirement income Advanced planning with Health Savings Accounts Estimating health care costs for early retirement Effectively engaging clients regarding custodial care 75 Minutes - Education Session | Peter Stahl, Bedrock
CFP Ethics: New Standards for a Fiduciary World Why attend: Find out about the CFP Board’s latest guidelines for ethics and conduct, and how your practice will benefit from them. Session details: The CFP Board’s new Code of Ethics and Standards of Conduct, which guides the work of CFP® professionals, will take effect on October 1, 2019. The new version adds greater rigor to the CFP certification requirements, enhancing the value you bring to your clients. Using polls, videos, and case studies, a subject-matter expert will help you: Identify the structure and content of the revised code and standards, and grasp the significant changes Act in accordance with the CFP Board’s fiduciary duty Apply the standards in your financial planning practice Recognize situations when specific information must be provided to a client Recognize and avoid, or fully disclose and manage Material Conflicts of Interest 2 Hours - Extended Education | Daniel Candura, Candura Group, LLC
China: Trade, Tariffs and the Trillion Dollar Opportunity Why attend: Learn why China’s growth opportunities and innovation make the country too big for investors to ignore.  Session details: The trade dispute with China shouldn’t deter investors from appreciating the country’s strong fundamentals and long-term economic growth trends. Rising consumer wealth creates new investment opportunities and fosters innovation that will influence global businesses for years to come. Strategists from Matthews Asia will discuss China’s importance and offer insights into topics including: U.S.-China relations, including trade, politics and markets Key misconceptions about the world’s second-largest economy The domestic A-share equity market and the portfolio implications of being underweight China Why active management is essential to capture the opportunity 75 Minutes - Education Session | Andy Rothman, Matthews Asia
David Dali, Matthews Asia
Combatting Cybercrime: Latest Trends and Best Practices Why attend: Gain a better understanding of the complexity of the latest fraud and cybercrime schemes and learn how to manage the ever-evolving threat landscape. Session details: Can you spot the signs of a potential fraud, and do you know what to do to prevent additional harm? Because the threat landscape is changing daily, combatting cybercrime is challenging if you don’t have a keen awareness of the newest trends and the best practices to counter attacks. Learn how you can help improve risk management at your firm and hear about: Recent fraud trends in the financial services industry Real-world case study examples of fraud Red flags to watch for Best practices, strategies, and policies that you can implement to thwart fraud  75 Minutes - Education Session | Greg Ruppert, Charles Schwab & Co., Inc.
Kara Suro, Charles Schwab & Co., Inc.
Cybersecurity: Best Practices to Protect Your Firm Why attend: Gain a better understanding of the current cybersecurity landscape, the latest threats, and the immediate steps you can take to keep your firm safe. Session details: Every firm, no matter the size, is vulnerable to cyber threats that can cripple their business and erode client trust. In this highly interactive session, you’ll learn the latest best practices for enhancing your cybersecurity program. Whether you’re just starting out or building on what you already have, we’ll provide actionable next steps and cover topics including: The current cybersecurity landscape, including the regulatory environment and latest threats Elements of a strong cybersecurity program Key best practices you can use to enhance your firm’s efforts Schwab tools and resources to help you build and maintain an effective program 75 Minutes - Education Session | Adam Moseley, Charles Schwab & Co., Inc.
Five-Year Outlook: Navigate the Market with Confidence Why attend: Uncover key investment themes and tactical opportunities to inform your asset allocation decisions over the next five years. Session details: Are your investment portfolios positioned to handle the upcoming market environment? Join our Chief Investment Strategist as he reveals the key economic and market themes, return forecasts, and tactical opportunities that are driving the firm’s most important asset allocation decisions. During this practical application session, find out about: Strategic and tactical considerations around growth, inflation, and interest rates Current risk cases and their potential impact on portfolios Five-year return forecasts for global asset classes 75 Minutes - Education Session | Jim McDonald, Northern Trust Asset Management
Growth Investing in a World of Technological Innovation Why attend: Discover how growth stock investing can be used to capitalize on the disruptive innovations and technologies that are transforming industries.  Session details: Over the last decade, innovative technologies like the mobile Internet, e-commerce, and video streaming have transformed the typical day for most consumers. These disruptions are shaping industries and will continue to drive global change, while emerging trends like digital payments, health care innovations, and electric vehicles are creating even more secular global growth opportunities for investors. Explore how: Smartphones launched a wave of disruptive innovation Growth for mobile internet, e-commerce, and video streaming is accelerating These innovations are putting a wide range of incumbent companies at great risk Experience in growth stock investing is necessary to identify innovative, disruptive technologies 75 Minutes - Education Session | Thomas Davis, Jennison Associates
Guiding Principles for Advisory Firm Success Why attend: Learn and understand the five core principles propelling advisory firms that consistently outperform. Session details: Do you know what makes the top-performing advisory firms outperform? There are essential elements that advisors need to address over and over as they approach key turning points at different AUM levels. In this session, Jerry Cobb will dive deep into five principles that help create a clear path forward, providing strategic and behavioral clarity: Strategic planning and execution is a leading indicator of success  Value is defined through your clients’ eyes Operational excellence creates greater capacity for clients Your reputation is your brand People are your most important asset 60 Minutes - Education Session | Jerry Cobb, Charles Schwab & Co., Inc.
How to Create a Behavioral Policy Statement, And Why You Should Why attend: Create a behavioral policy statement to help clients manage their expectations, filter out noise, and stick with their investing strategy. Session details: Are you helping your clients avoid distracting market signals? In an extended workshop session, Jay Mooreland will discuss the importance of creating a behavioral policy statement to keep clients focused and review its essential elements, including how to manage investment and investor expectations and other best practices. Delve into: Which essential items need to be part of a behavioral policy statement and what not to include How to effectively present and use a policy in your client framework How to identify and select the best coaching points for your behavioral policy statement 90 Minutes | Jay Mooreland, The Emotional Investor
Keeping Your Clients Focused On Success by Mitigating Behavioral Risk Why attend: Help your clients adhere to the financial plan you’ve created and keep irrational impulses at bay through behavioral solutions. Session details: When designing financial plans for clients, advisors often fail to include an essential element: the behavioral plan for helping investors stay on track. Coaching your clients to succeed at this is a crucial skill, and it can’t be commoditized or outsourced. In this interactive session, you’ll learn about straightforward behavioral solutions to help clients pursue their financial goals with confidence. Delve into: What makes investors tick, and the role emotion plays in their choices Common biases that influence investors, and how to mitigate their impact Tactics for effectively framing and delivering your message to clients, and for helping them adhere to your financial plan 75 Minutes - Education Session | Jay Mooreland, The Emotional Investor
Laying the Groundwork for Trusts in 2030: Tactics and Strategies Why attend: Learn how to prepare for changes in trust and estate-planning and how to benefit from them to guide your firm in the decade ahead. Session details: Will your firm be well-positioned to succeed in 2030? Getting there involves a combination of auditing, compliance, and risk management to understand the past, succeed in the present, and focus on what lies ahead. Phil Buchanan will share insights into a future in which firms increasingly embrace technology, support and back-office function changes, and where specialization becomes the norm. Discover how to: Use trust and estate planning decisions to stay relevant in the face of automation and artificial intelligence Deploy technology to deliver value while relying on fewer employees Help clients use trusts to achieve their goals in a changing tax and political environment 75 Minutes - Education Session | Phil Buchanan, Cannon Financial Institute
Market Compass: Macro Themes for 2019 Why attend: Learn which macroeconomic factors have had the biggest impact on the U.S. economy so far this year, and how they are likely to play out in 2020. Session details: Developed economies have evolved since the financial crisis, creating opportunities for investors that can have unintended consequences. A wide range of macroeconomic trends are creating uncertainty and unpredictability in the global markets, challenging investors. In this overview of the macro environment, discover why it’s important to: Generate income from a range of sources Ensure that your investing approach includes downside protection and asset preservation strategies Diversify your holdings to weather changing macroeconomic trends 75 Minutes - Education Session | Kristina Hooper, Invesco
MIT AgeLab Research: Retiring the “Old Age” Story Why attend: Better understand misconceptions about retirement, and how you can steer your clients towards a fresh approach. Session details: Many people planning for retirement base their approach on myths, traditions, and expectations of previous generations, even though retirement today may last far longer than it did in the past. Retirees often find themselves bored, disengaged, or regretting a lifestyle they were told they should enjoy. A subject-matter expert will discuss how to help your clients create a fulfilling retirement. Learn: The origins of the traditional, leisure-filled retirement story Why many ideas about retirement are outdated or inaccurate How clients can use their life stories to plan for an engaging and exciting retirement How to prevent ageism from affecting your clients’ retirement views 75 Minutes - Education Session | John Diehl, Hartford Funds
Multi-Asset Investing in an Uncertain World Why attend: Gain a better understanding of the most pressing questions and challenges facing multi-asset investors in today’s market. Session details: Investors in today’s markets face several crucial tasks, including determining where they are in the business cycle, how to best allocate assets between value and growth strategies, and understanding the implications of their choices. Two subject-matter experts will delve into a range of important questions: Are markets expensive? Where do rates go? Are illiquid assets a viable strategy? When does diversification fail? Delve into: The current market environment and the implications of geopolitical events on portfolios Signals that may trigger additional updates to portfolios Best practices from the multi-asset strategy team at T. Rowe Price 75 Minutes - Education Session | Chris Dillon, T. Rowe Price
Sebastien Page, T. Rowe Price
Private Equity: Innovation & Evolution Why attend: Learn about the new opportunities in private equity, and how product innovation has evolved over the years. Session details: In a lower-return environment, investors are increasingly turning to private equity to generate higher returns in their portfolios. With recent structural innovations, these once exclusive investments are now easier to access. Investors now have a range of options to consider, including: traditional private equity funds, feeder funds, interval funds, and auction funds. Two subject-matter experts will explore: Why is now a good time to invest in private equity? How advisors should evaluate private equity and incorporate them in portfolios? What are the structural trade-offs in gaining exposure to private equity? What’s next in private equity innovation? 1.5 Hours - Extended Education | Anthony Davidow, Schwab Center for Financial Research
Bob Rice, Tangent Capital
Recruiting Success: An Expert Shares Her Approach to Attracting Top Advisor Talent Why attend: Discover how to make recruiting and M&A a part of your firm’s strategic process and ensure you can attract the right talent in a red-hot recruiting market. Session details: Firms often reach a point where they recognize that inorganic growth is necessary to drive enterprise value, gain scale, and remain relevant. The most successful ones are strategic and proactive when it comes to attracting and engaging talent. Mindy Diamond will discuss how to win the race for top talent by using emotional intelligence to better connect to candidates, and assess their key drivers, pain points, and goals. Learn how to: Make your firm attractive to top talent Identify and engage the right potential hires Customize offers based on your firm’s goals and the candidate’s needs Develop a strategic process to accelerate and achieve your growth targets 75 Minutes - Education Session | Mindy Diamond, Diamond Consultants
Reduce Stress, Be Focused, and Stay on Purpose: How Mindfulness Can Help Why attend: Learn how mindfulness meditation can help you be more resilient, better focus on achieving your goals and stay aligned with your purpose. Session details: Mindfulness meditation has become a popular practice for reducing stress and improving well-being, and hundreds of controlled studies support its usefulness. It has been shown to enhance focus, sustain attention, improve working memory, and to help people prevent their minds from wandering while working on tasks. Cassandra Vieten will discuss: What mindfulness is and how it can benefit financial professionals The research that supports its effectiveness Three mindfulness practices you can implement in your personal and professional lives 75 Minutes - Education Session | Dr. Cassandra Vieten, Institute of Noetic Sciences
Reducing Your Exposure with Covered Calls Why attend: Discover how to use covered calls to strategically reduce a large concentrated equity position while mitigating risks and spreading out capital gains obligations. Session details: Many investors are overly exposed to a single stock in their portfolio, often because it’s equity compensation from an employer. Despite the obvious risks, they are often hesitant to pare back the position because of capital gains taxes or concerns about selling when they have a bullish outlook. Learn how selecting strike prices, expiration dates, and quantities of covered calls to slowly reduce a concentrated position can help you: Reduce risk in a portfolio at a measured pace Spread capital gains over multiple years to lessen tax impact Generate short-term income using a low-risk option strategy Avoid missing out on upside opportunity 75 Minutes - Education Session | Randy Frederick, Charles Schwab & Co., Inc.
The Happiness Factor: Making Your Personal and Work Lives Better Why attend: Get an overview of current happiness research and discover practical steps you can take to increase personal and workplace happiness. Session details: Do you know what makes you happy? Researchers say most people can’t answer the question, and that daily routines can thwart happiness. Studies also show that when managers understand happiness, they can dramatically improve their workers’ performance, enhance workplace culture, and increase profits. Learn: Why happiness matters in the workplace How to erase misunderstandings about happiness How you can improve management skills and culture A set of practical, daily routines that will make you measurably happier 75 Minutes - Education Session | Ken Harmon, HENSSLER FINANCIAL
Using Strategic Planning to Build a Top-Performing Firm Why attend: Learn how to develop or enhance a strategic plan to help your firm grow and succeed in a competitive business environment. Session details: As the RIA industry evolves and competition becomes more fierce, firms with a strong strategic plan are better positioned to prosper. Back by popular demand, this highly interactive roundtable session will show you how to use Schwab’s strategic planning process to help you keep your firm focused on key priorities and in alignment around a shared direction. Achieve your vision by learning: Strategic planning basics Approaches that have and haven’t worked Your firm’s strengths and opportunities through completion of a SWOT analysis How to construct and  implement an effective plan 1.5 Hours - Extended Education | Nikolee Turner, Charles Schwab & Co., Inc.
What Makes Gen X Different? The Answer Could Change Your Business Why attend: Learn how to break through barriers and connect with the fiercely independent Generation X, with specific strategies tailored to their needs. Session details: The personal finance industry sees Generation X, or Gen X, as the hardest generation to connect with, partly because they do not tend to seek investment and planning advice like baby boomers or millennials. The Census Bureau predicts that by 2028 Gen Xers will outnumber boomers, creating a major opportunity. Research shows many Gen Xers would use advisors who successfully blend human contact and technology. Explore: The key demographic differences of this generation, including married with children, child-free couples, and independent women Strategies tailored to specific demographics of Generation X Techniques to manage nuances and empathy and build client relationships 1.5 Hours - Extended Education | Megan Gorman, CHEQUERS FINANCIAL MGMT LLC
Your Aging Client: Are You Prepared for Diminished Capacity and Elder Fraud? Why attend: Develop protocols to help guide your aging clients through diminished capacity and protect against elder fraud. Session details: Aging clients become increasingly susceptible to diminished capacity and/or elder fraud. Yet many advisors have insufficient knowledge of these issues, and don’t adequately prepare themselves or their clients. In this 90 minute pre-conference session, learn how to become an informed and trusted resource for your clients as they age. Gain insight into: The nature and causes of diminished capacity, and signs to watch for Ways to educate clients about abuse and fraud before they occur Your legal responsibilities Protocols to implement when you suspect diminished capacity, elder fraud, or both 90 Minutes | Amy Florian, Corgenius
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