The Fine Print

Code of Conduct

By attending a FRA event, you agree to abide by our code of conduct while onsite and agree to contribute to a positive and respectful environment for all participants. Violations of this code of conduct may result in actions such as warnings, removal from the conference, or legal consequences, depending on the severity of the violation and FRA's discretion.

All conference participants including attendees, speakers, sponsors, and staff are expected to:

  • Treat others with respect and professionalism; harassment, discrimination, offensive language, threats and disruptive behavior will not be tolerated
  • Foster an inclusive and welcoming environment
  • Conduct themselves in a professional manner during sessions, receptions, and sponsored activities
  • Engage in collaborative conversations and idea exchange in a respectful and constructive manner
  • Report any suspicious or concerning behavior to FRA staff promptly

All weapons and illegal drugs are strictly prohibited. Any conference participant who is asked to leave the event will not be reimbursed for any portion of their attendance fee. 


While we have selected our speakers based on their general knowledge and experience with the subject matter of the program, neither FRA nor the speakers are providing legal or compliance advice to you or your organization. You should consult your organization’s legal or compliance advisor(s) regarding your unique circumstances. Any examples discussed in the program are hypothetical only. The presence of vendors or speakers at FRA events does not constitute an endorsement of the vendor or speaker or their views, products or services.


Unless otherwise noted on a conference brochure, the appropriate attire for any FRA event is "business dress."


Payment must be received before the meeting. If you register within seven (7) business days before a conference begins, we must have direct payment via credit card.


Substitute registrants from the same organization will be honored

  • Substitute registrants from the same organization will be honored.
  • All cancellations will receive full credit equivalent to your paid registration amount to be used on an event of your choosing within 12-months from date of cancellation.
  • All requests for substitutions/cancellations should be sent via e-mail to
  • Cancellation payment credits can be used either by the person listed on the registration or a colleague from the same company.
  • No credits will be granted for cancellations received after a conference begins or for in-person or virtual no-shows.
  • One person per registration is allowed. Registrations cannot be split between multiple people.
    For reasons beyond our control, it is occasionally necessary to alter the content and timing of the program or to substitute speakers. Thus, the speakers and agenda are subject to change without notice. In the event of a speaker cancellation, every effort to find a replacement speaker will be made.

Conference Cancellations

We strive to hold all conferences as scheduled. However, due to unforeseen market circumstances, Acts of God, or other circumstances beyond our control, we reserve the right to cancel or reschedule any event 21 days or more prior to its start date. We will notify all registered attendees as soon as a conference has been canceled via e-mail or fax and will, in the case of a cancelled event, process full vouchers for paid registrations in the event the conference is not rescheduled. We advise attendees not to make final travel arrangements more than 30 days prior to the scheduled start date of the event. FRA is not liable for any travel-related or other expenses incurred by delegates in the case of a cancelled conference.

Conference Documentation

Complete population of our conference documentation is a priority at FRA. We make every effort possible to secure in advance copies of speakers’ presentations. We send out an electronic version of the conference documentation two business days before the event and a final version 7-10 business days following the event. From time to time our speaking faculty is unable to submit their presentations in advance of the conference. We urge conference delegates to reach out to speakers who are unable to submit advance documentation and are happy to provide contact details to do so.

Conference Discounts

The only permanent discount structure FRA offers is a Group Discount. The group discount structure is stated below. In order to secure a group discount, all delegates must place their registrations at the same time and pay in advance of the conference in order to secure the discount. If any delegate(s) in a discounted group cancel their registrations, the discount will be void or revert to a lesser discount if the remaining group of attendees is large enough to qualify for a discount. Group discounts cannot be issued retroactively. Group discounts can be issued through our business development department or through our website.

  • Three Delegates will receive a 10% discount
  • Four Delegates will receive a 15% discount
  • Five Delegates or More will receive a 20% discount
  • Registrants applying a credit voucher from a previous conference do not count toward a group registration when calculating a group's discount.

Discounts are only issued at the time of registration and amounts will not be changed retroactively.

If you have any further questions on conference discounts please call our Business Development Office at 704-341-2439.

CLE Credits and Financial Aid Policy

On an event by event basis, FRA may apply for approval from the NY State CLE Board for CLE credit for conferences held within the state of New York. In such cases, FRA does offer financial aid for NY attorneys who wish to attend a NY conference but are unable due to cost considerations.  Financial aid is offered on a sliding scale based upon annual incomes of $50,000 or less.  Specifically, attorneys with income up to $35,000 may receive a 75% discount, and those with income between $35,000-$50,000 may receive a 50% discount.  Any NY attorney seeking further information or who would like to submit a financial aid request should contact Kelli Bush at or phone 704-341-2377.

Canadian Anti-Spam Law (CASL) Compliance

FRA is committed to ensuring that all persons who receive electronic messages receive them in a manner that is consistent with Canada's Anti-Spam Legislation (CASL).

FRA will continue to send electronic messages to recipients that are relevant to their career and/or business needs, in the following contexts:

  • You have provided us with your email address directly (i.e. register for a conference with your email address), without indicating a wish not to receive electronic messages.
  • You have explicitly informed Financial Research Associates (verbally or otherwise) that you are interested in continuing to receive electronic messages.
  • You have a business relationship with Financial Research Associates.
  • Financial Research Associates is responding to a request for information from you.
  • A third party who you have an existing relationship with has referred FRA to you.

In the unlikely event you no longer wish to receive electronic messages from FRA, simply reply to the electronic message / email address sent to you, with the word "Unsubscribe". Our electronic messages also contain this information on how to unsubscribe from receiving electronic messages. Your request will be processed as soon as possible, and no later than ten (10) days after you send the request.

GDPR Privacy Notice

About this Notice

Wilmington FRA, part of Wilmington plc, is committed to protecting the privacy and security of your personal information. This privacy notice describes how we collect and use personal information about you in accordance with data protection law. Please read it carefully.

  • Data protection law says that the personal information we hold about you must be:
    Used lawfully, fairly and in a transparent way.
  • Collected only for valid purposes that we have clearly explained to you and not used in any way that is incompatible with those purposes.
  • Relevant to the purposes we have told you about and limited only to those purposes.
    Accurate and kept up to date.
  • Kept only as long as necessary for the purposes we have told you about.
  • Kept securely
  • If you have any questions about this notice or how we collect and use personal information about you please contact us using the details below.

Information About Us

We are FRA and our operating company is Wilmington FRA. Our registered office is at 1209 Orange Street, Wilmington, Delaware 19801 USA.

If you have any questions, our contact details are:

  • 3420 Toringdon Way, Suite 240, Charlotte, North Carolina NC, 28277 USA
  • +1 704 341 2384

We also have a dedicated Data Protection Officer, who is responsible for data compliance issues. Their contact details are below:

As we are based outside the EU, our nominated representative for the purposes of data protection law is Wilmington plc their contact details are below:

Contract Information and Other Correspondence

When you enter into a contract with us (or someone does so on your behalf) there will be personal information about you relating to that contract such as your name, contact details, contract details, delivery details, and correspondence with us about the contract.

We need certain information to carry out our contract with you and you must provide this in order to enter into a contract with us (or as required under that contract), if you do not, we may not be able to carry out our contract with you. Mandatory information fields are generally set out when you are entering into the contract, but in particular, you must provide the following information:

  • Your name and contact details.
  • Your delivery address.
  • Your payment details.
  • Information to verify your identity and other information for us to carry out anti money laundering checks.
  • Name and contact details of individual consumers of our products or services covered by the contract.

Other correspondence or interaction (for example by email, fax, telephone, mail, SMS or via our website) between you and us, will include personal information (such as names and contact details) in that correspondence. This may include enquiries, reviews, follow-up comments or complaints lodged by or against you and disputes with you or your organisation.

Call information. We may also collect details of phone numbers used to call our organisation and the date, time and duration of any calls. Please note that we may record your calls to or from us for quality and training purposes.

We will keep and use that information to carry out our contract with you (if applicable), to comply with any legal requirements for us to maintain certain records or carry out certain verifications, and/or for our legitimate interests in dealing with a complaint or enquiry and administering your (or your organisation’s) account or order and any services we offer, as well as to review and improve our offerings, including troubleshooting, data analysis, testing, research, statistical and survey purposes.

If you work for one of our customers, suppliers or business partners, the information we collect about you may include your contact information, details of your employment and our relationship with you. This information may be collected directly from you, or provided by your organisation. Your organisation should have informed you that your information would be provided to us, and directed you to this policy. We use this as necessary for our legitimate interests in managing our relationship with your organisation. If we have a business relationship with you or your organisation, we may receive information about you from your organisation.

Where your information relates to a contract, it is kept for a period of up to 7 years after your account is closed to enable us to deal with any after sales enquiries or claims and as required for tax purposes and may be stored in our archive for reference purposes for as long as our business need which we will review after 7 years.

Payment information is collected by our payment card processing provider and is retained for a period of up to 16 months after the date of the order.


We may collect your name and contact details (such as your email address, phone number or address) in order to send you information about our products and services which you might be interested in. We may collect this directly from you, or through a third party. If a third party collected your name and contact details, we will process your professional data based on legitimate interests to send you a fair processing notice and then respect any communication preferences you give us.

You always have the right to “opt out” of receiving our marketing. If we send you any marketing emails, we will always provide an unsubscribe option to allow you to opt out of any further marketing emails. If you “opt-out” of our marketing materials you will be added to our suppression list to ensure we do not accidentally send you further marketing. We may still need to contact you for administrative or operational purposes, but we will make sure that those communications don’t include direct marketing.

If you are an existing customer or are acting as a business we use your contact details as necessary for our legitimate interests in marketing to you and maintaining a list of potential customers.

We only share your name or contact details with event sponsors for marketing purposes where we have informed you that we will do so.

We use third party service providers to send out our marketing, but we only allow them to use that information on our instructions and where they have agreed to treat the information confidentially and to keep it secure.

We retain your details on our marketing list until you “opt-out” at which point we add you to our suppression list. We keep that suppression list indefinitely to comply with our legal obligations to ensure we don’t accidentally send you any more marketing.

Photo & Video Information

By registering for a FRA event grant, you are granting permission to be videotaped and/or photographed, and record my voice, conversation and sounds during and in connection with my video and interactions at the event. I hereby grant all rights to FRA to use the results of such videotaping, photography and recording in perpetuity, throughout the world, to reproduce, distribute, and use, in any manner and for any marketing purpose, all or any portion thereof, including but not limited to communication materials promoting FRA conferences.

Website Information

We may collect information about you and your use of our website via technical means such as cookies, webpage counters and other analytics tools. We use this as necessary for our legitimate interests in administering our website and to ensure it operates effectively and securely.

We, or third party advertisers, may also use this information to serve adverts on you. Where those adverts are targeted, this may involve using website information and information we (or our third party advertisers) have obtained from third parties. This won’t include information such as your name or contact details. Where our adverts are displayed to you using your information, your information is used as necessary for our legitimate interests in marketing to you.

For detailed information on the cookies we use and the purposes for which we use them see our Cookie information in our US privacy policy.

We keep this website information about you from when it is collected until the relevant cookie expires or you disable it.

Our website may, from time to time, contain links to third party websites, plug-ins and applications. Clicking on those links or enabling those connections may allow third parties to collect or share data about you. We do not control these third party websites and are not responsible for their privacy statements. When you leave our website, we encourage you to read the privacy notice of every website you visit.

Information Collected at Our Premises

Visitor information. We collect information about visitors to our premises. We may record information on your visit, including the date and time, who you are visiting, your name, employer, contact details and vehicle registration number. If you have an accident at our premises, this may include an account of your accident.

CCTV. We, or our building management company, may operate CCTV at our premises which may record you and your activities. We display notices to make it clear what areas are subject to surveillance. We only release footage following a warrant or formal request from law enforcement, or as necessary in relation to disputes.

We use this information as necessary for our legitimate interests in administering your visit, ensuring site security and visitor safety, and administering parking.

Visitor Information is kept for a period of up to 3 months. If you have an accident on our premises, our accident records are retained for a period of up to 3 years.

CCTV recordings may be kept for a period of up to 35 days (unless there an incident occurs and it is necessary for us to keep recordings for longer to properly deal with it).

Job Applicants

We will collect and hold information on job applicants, including information you provide to us in your application, or provided to us by recruitment agencies, as well as information on you from any referees you provide.

We use this as necessary to enter into an employment contract with you, and for our legitimate interests in evaluating candidates and recording our recruitment activities, and as necessary to exercise and perform our employment law obligations and rights.

If you are successful in your application, your information will be used and kept in accordance with our internal privacy notice. If you currently work for us, or used to work for us, you can request a copy of this from us. If you are not successful in your application, you information will be held for up to 6 months after the relevant round of recruitment has finished.

You must provide certain information (such as your name, contact details, professional and educational history) for us to consider your application fully. If you have not provided all of this information, we may contact you to ask for it. If you do not wish to provide this information, we may not be able to properly consider your application.

If you are listed as a referee by an applicant, we will hold your name, contact details, professional information about you (such as your employer and job title) and details of your relationship with the applicant. We will use this information as necessary for our legitimate interests in evaluating candidates and as necessary to exercise and perform our employment law obligations and rights. Your information will be kept alongside the applicant’s information.

If you are listed as an emergency contact by someone who works for us, we will hold your name, contact details and details of your relationship with that worker. We will use this to contact you as necessary to carry out our obligations under employment law, to protect the vital interests of that worker, and for our legitimate interests in administering our relationship with that worker. Your information will be kept until it is updated by that worker, or we no longer need to contact that worker after they have stopped working for us.

Legal Claims

Where we consider there to be a risk that we may need to defend or bring legal claims, we may retain your personal information as necessary for our legitimate interests in ensuring that we can properly bring or defend legal claims. We may also need to share this information with our insurers or legal advisers. How long we keep this information for will depend on the nature of the claim and how long we consider there to be a risk that we will need to defend or bring a claim.

Information We Receive from Third Parties

We may also receive information about you from the following sources:

  • Our service providers. We work closely with third parties (including, for example, business partners, sub-contractors in technical, payment and delivery services, advertising networks, analytics providers, search information providers and credit reference agencies) who may provide us with information about you, to be used as set out above.
  • Businesses we have bought. If we have acquired another business, or substantially all of its assets, which originally held your information, we will hold and use the information you provided to them, or which they otherwise held about you, in accordance with this privacy notice.
  • Our other channels. This is information we receive about you if you use any of the other websites we operate or the other services or products we provide. In this case we will have informed you when we collected that data if we intend to share those data internally and combine it with data collected on this website. We will also have told you for what purpose we will share and combine your data.
  • Publicly available sources. We obtain information from the following publicly available sources: your organisation/employer’s website or LinkedIn.
    Credit information. We may also collect credit information on you from third party reference agencies.

Why Else Do We Use Your Information?

Common uses of your information. We will only use your personal information when the law allows us to do so. Although in limited circumstances we may use your information because you have specifically consented to it, we generally use your information in the ways set out in this notice because:

  • We need to perform a contract we have entered into with you.
  • We need to comply with a legal obligation.
  • It is necessary for our legitimate interests (or those of a third party) and your interests and rights do not override those interests.
  • We need to protect your interests (or someone else’s interests) or where it is needed in the public interest (although these circumstances are likely to be rare).

Change of purpose. We will only use your personal information for the purposes for which we collected it as set out in this notice, unless we reasonably consider that we need to use it for another reason and that reason is compatible with the original purpose. If we need to use your personal information for an unrelated purpose, we will notify you and we will explain the legal basis which allows us to do so.

Sharing Your Information

As well as any sharing listed above, we may also share your information with third parties, including third-party service providers and other entities in our group. Third parties are required to respect the security of your personal information and to treat it in accordance with the law. We never sell your data to third parties.

Why might we share your personal information with third parties?

We may share your personal information with third parties if we are under a duty to disclose or share your personal information in order to comply with any legal obligation, or in order to enforce or apply our agreements with you, or to protect the rights, property, or safety of us, our customers, or others or where we have another legitimate interest in doing so. This may include exchanging information with event sponsors for marketing purposes and other companies and organisations for the purposes of fraud protection and credit risk reduction.

Which third-party service providers process your personal information?

We also may need to share your personal information for third-party service providers (including contractors and designated agents) so that they can carry out their services.

The following activities are carried out by third-party service providers: business consultants, CRM systems, data research partners, digital customisation platform, email engagement platforms, event administration, event management technologies, event venues, feedback and review platforms, IT services, legal advice, order fulfilment, payment processing, speakers at events, webinar platforms and website hosts.

When might we share your personal information with other entities in the group?

We may share your personal information with other entities in our group in our shared CRM, email marketing and finance systems, as part of our regular reporting activities on company performance, in the context of a business reorganisation or group restructuring exercise, and for system maintenance support and hosting of data.

How secure is your information with third-party service providers and other entities in our group?

All our third-party service providers and other entities in the group are required to take appropriate security measures to protect your personal information. Where third parties process your personal information on our behalf as “data processors” they must do so only on our instructions and where they have agreed to treat the information confidentially and to keep it secure.

What about other third parties?

We may share your personal information with other third parties, for example in the context of the possible sale or restructuring of the business where necessary in connection with the purposes which your information was collected for. We may also need to share your personal information with a regulator or to otherwise comply with the law.

Where We Store Your Information

Our office headquarters are based in London, UK and our main data centre is located in Telford, UK. However, where required to perform our contract with you or for our wider business purposes, the information that we hold about you may be transferred to, and stored at, a destination outside the UK and the EU. It may also be processed by staff operating outside the UK and EU who work for us or for one of our service providers. Our group of companies operate in the following countries: UK, Spain, France, Ireland, USA, Dubai, Singapore and Hong Kong.

We will take all steps reasonably necessary to ensure that your personal information is treated securely and in accordance with this privacy notice.

Some countries or organisations outside of the UK and the EU which we may transfer your information to will have an “adequacy decision” in place, meaning the EU considers them to have an adequate data protection regime in place. These are set out on the European Commission website:

If we transfer data to countries or organisations outside of the UK and the EU which the EU does not consider to have an adequate data protection regime in place, we will ensure that appropriate safeguards (for example, model clauses approved by the EU or a data protection authority) are put in place where required. To obtain more details of these safeguards, please contact us.

Data Security

As well as the measures set out above in relation to sharing of your information, we have put in place appropriate internal security measures to prevent your personal information from being accidentally lost, used or accessed in an unauthorised way, altered or disclosed. In addition, we limit access to your personal information to those employees, agents, contractors and other third parties who have a business need to know. They will only process your personal information on our instructions and they are subject to a duty of confidentiality.

We have put in place procedures to deal with any suspected data security breach and will notify you and any applicable regulator of a suspected breach where necessary.

How Long Will We Keep Your Information For?

We have set out above indications of how long we generally keep your information. In some circumstances, it may be necessary to keep your information for longer than that in order to fulfil the purposes we collected it for, including for the purposes of satisfying any legal, accounting, or reporting requirements.

To determine the appropriate retention period for personal information, we consider the amount, nature, and sensitivity of the personal information, the potential risk of harm from unauthorised use or disclosure of your personal information, the purposes for which we process your personal information and whether we can achieve those purposes through other means, and the applicable legal requirements.

In some circumstances we may anonymise your personal information so that it can no longer be associated with you, in which case we may use such information without further notice to you.

Your Rights

Data protection law gives you a number of rights when it comes to personal information we hold about you. The key rights are set out below. More information about your rights can be obtained from the Information Commissioner’s Office (ICO). Under certain circumstances, by law you have the right to:

  • Be informed in a clear, transparent and easily understandable way about how we use your personal information and about your rights. This is why we are providing you with the information in this notice. If you require any further information about how we use your personal information, please let us know.
  • Request access to your personal information (commonly known as a “data subject access request”). This enables you to receive a copy of the personal information we hold about you and to check that we are lawfully processing it.
  • Request correction of the personal information that we hold about you. This enables you to have any incomplete or inaccurate information we hold about you corrected.
  • Request erasure of your personal information. This enables you to ask us to delete or remove personal information where there is no good reason for us continuing to process it (for instance, we may need to continue using your personal data to comply with our legal obligations). You also have the right to ask us to delete or remove your personal information where you have exercised your right to object to processing (see below).
  • Object to processing of your personal information where we are relying on a legitimate interest (or those of a third party) and there is something about your particular situation which makes you want to object to us using your information on this basis and we do not have a compelling legitimate basis for doing so which overrides your rights, interests and freedoms (for instance, we may need it to defend a legal claim). You also have the right to object where we are processing your personal information for direct marketing purposes.
  • Request the restriction of processing of your personal information. This enables you to ask us to suspend the processing of personal information about you, for example if you want us to establish its accuracy or the reason for processing it.
  • Request the transfer of your personal information to another party where you provided it to us and we are using it based on your consent, or to carry out a contract with you, and we process it using automated means.
  • Withdraw consent. In the limited circumstances where we are relying on your consent (as opposed to the other bases set out above) to the collection, processing and transfer of your personal information for a specific purpose, you have the right to withdraw your consent for that specific processing at any time. Once we have received notification that you have withdrawn your consent, we will no longer process your information for the purpose or purposes you originally agreed to, unless we have another legitimate interest in doing so.
  • Lodge a complaint. If you think that we are using your information in a way which breaches data protection law, you have the right to lodge a complaint with your national data protection supervisory authority (if you are in the UK, this will be the ICO).

If you want to review, verify, correct or request erasure of your personal information, object to the processing of your personal information, withdraw your consent to the processing of your personal information or request that we transfer a copy of your personal information to another party, please contact us on

No fee usually required. You will not have to pay a fee to access your personal information (or to exercise any of the other rights). However, we may charge a reasonable fee if your request for access is clearly unfounded or excessive. Alternatively, we may refuse to comply with the request in such circumstances.

What we may need from you. We may need to request specific information from you to help us understand the nature of your request, to confirm your identity and ensure your right to access the information (or to exercise any of your other rights). This is another appropriate security measure to ensure that personal information is not disclosed to any person who has no right to receive it.

Timescale. Please consider your request responsibly before submitting it. We will respond to your request as soon as we can. Generally, this will be within one month from when we receive your request but, if the request is going to take longer to deal with, we will let you know.

Changes to this Privacy Notice

Any changes we make to our privacy notice in the future will be posted on this page and, where appropriate, notified to you by e-mail or otherwise. Please check back frequently to see any updates or changes to our privacy notice.