Monday, January 29th | Chapter Dinner
Time & Location
About The Event
- CYBERSECURITY UPDATE
- Bao Nguyen (Principal) & Jorge Rey (Chief Information Security)| Kaufman Rossin
- Bao Nguyen and Jorge Rey Experts will discuss the impact of the SEC cybersecurity examination priorities, top threats facing investment advisory firms, tips for reducing your risk of a cyber-incident and for protecting your information and your clients’ information. Cybersecurity and hacking incidents dominated the headlines in 2017, whether it was the hacking of U.S. Securities and Exchange Commission (SEC) or Equifax’s massive data breach. In this rapidly evolving threat environment, we need to foster a culture that charges every individual with the responsibility for protecting the organization and its information. (CFP CE Credit).
- TAKING AN ALTERNATIVE PATH - FROM ASSET MANAGER TO INCOME MANAGER
- Amy Kelly (Chief Operating Officer, Sales) | S2K Financial
- Moving from asset manager to income manager is critical to help your clients move from saving for retirement to spending for a much longer retirement period based on increased life expectancy. This session is focused on helping advisors understand the need to look beyond traditional investments to help diversify income generating portfolios. While many advisors are comfortable using alternative investments, some are still hesitant. We will address the myths of alternative investments and share the key factors that need to be considered when choosing the appropriate alternative investments. (CFP CE Credit).
ABOUT OUR SPEAKERS
Bao Nguyen, Principal | Kaufman Rossin
Bao Nguyen is a leader in Kaufman Rossin’s risk advisory services practice, with expertise in recognizing and assessing compliance risks forbroker-dealers, investment advisers, and hedge funds. He provides clients with compliance solutions, such as annual compliance program reviews, anti-money laundering independent testing, supervisory control risk assessments, fraud investigations, and customized compliance or product reviews. He has also assisted clients with broker-dealer and investment adviser registration with FINRA, the states, and the Securities and Exchange Commission regulatory examinations and investigations.
Prior to joining Kaufman Rossin, Bao was the chief compliance officer for a broker-dealer and registered investment advisor in South Florida. He was responsible for developing and implementing the firm’s supervisory systems to comply with federal and state securities law and FINRA Rules and Regulations. In addition, as the anti-money laundering compliance officer, he was responsible for compliance with the USA PATRIOT Act and Bank Secrecy Act (BSA).
Bao’s experience also includes being a lead examiner with FINRA for six years, where he examined FINRA member firms with respect to sales practice and financial reviews to determine compliance with federal and FINRA rules and regulations. He is a frequent speaker at various conferences and an author with published articles in Bloomberg BNA and ACAMS. In addition, Bao is frequently quoted in various publications such as, ACAMS.com, IA Watch, PAM Magazine, WealthManagement.com, and Compliance Week. He was a recipient of the Top 40 Under40 award by the South Florida Business Journal.
Jorge Rey, Chief Information Security| Kaufman Rossin
As the Chief Information Security Officer for Kaufman Rossin, Jorge Rey is responsible for the firm’s compliance with federal and state cyber security and privacy information laws and regulations. As the Director of Information Security and Compliance, he brings his expertise in cyber security and privacy information to the firm's clients.
Recognized by the South Florida Business Journal as one of top professionals under the age of 40, Jorge is responsible for managing and performing a variety of IT advisory engagements for companies in the financial services, healthcare, retail and technology industries.
He is a frequent speaker and has been quoted or featured in many major publications, including The Miami Herald, ComputerWorld,
ABA Banking Journal, Healthcare Fraud, and others. Jorge helps organizations ranging from startups to large public and privately held companies address information security, compliance and IT needs. He brings notable experience in information management and governance, IT security, risk management, technology and consulting to his clients.
He is a Certified Information Systems Auditor (CISA), Certified Information Security Manager (CISM), and Certified in the Governance of Enterprise IT (CGEIT). He holds a master's degree in Information Technology from Nova Southeastern University and a certificate in Administration of Information Security, recognized by the National Security Agency (NSA).
Amy Kelly (Chief Operating Officer, Sales) | S2K Financial
Amy Kelly is Chief Operating Officer of Sales for S2K Financial, where she is responsible for the sales operation for S2K Financial investments.
Amy has over 20 years of sales and marketing experience in the financial services industry, working with all channels of retail broker-dealer firms. Previously, Amy was a National Product Manager with RC Securities, raising over $3 billion in the independent and registered investment advisor channels. Prior to joining RC Securities, Amy spent 15 years as a wholesaler with various firms, including Lightstone, SC Distributors, Prudential and AXA Equitable. Amy was also a Financial Advisor and product specialist with one of the Advisor Group’s largest groups.
Amy earned a B.A. in Finance from Georgia State University.
- Early Bird - FPA Member$50$500$0
- Early Bird - Non-FPA Members$60$600$0
- FPA Members - after 1/23/2018$75$750$0
- Non-FPA Member - after 1/23/18$85$850$0