Outreach Series - Upcoming Outreach Session

The Regulatory Compliance Association proudly presents this month's UK Centric Outreach Session entitled:

Emerging Client Money Litigation, Regulation and Enforcement

Wednesday, 29 September, 2010
General Session: 12 noon, London Time
Bonus Session: 1pm to 1:30, London Time
Location: Simulcast

The Lehman bankruptcy, and its progeny, prompted heightened scrutiny
and escalating regulation within the arena of Client Money.   Prior to
Lehman, the Client Money regulatory environment noted marginal changes
over the past 10 years.

Since January, 2010, The FSA continues to levy record fines for Client
Money violations.

The FSA announced the Client Money enforcement initiative with the
notable “Dear CEO” letter.

Additionally, the FSA clearly communicated the priority of Client
Money compliance by mandating the appointment of a Client Money
Officer for each firm by 30 June, 2010.

Moreover, recent commentary indicates that the FSA will not hesitate
from revoking Client Money “permissions” from non compliant firms.

Against that backdrop, the CCO University faculty of professors shall
provide an in depth and candid discussion that explores the emerging
issues and provides practical guidance regarding:

•       Recent FSA Areas of Interest, Focus and Enforcement
•       Emerging Issues Driven By Recent Litigation
•       Practical impact of Client Money issues upon operational processes
•       Preparing for an FSA Client Money inquiry – Key Considerations
•       Emerging Client Money Regulation and Requirements

Session Chairman:

Walter Zebrowski, JD, CPA, Hedgemony Partners
Chairman, Regulatory Compliance Association

Lead Instructor:

Amarjit Singh, ACA, Partner, Ernst & Young

Speaking Faculty:

Deborah Weston, Director, Ernst & Young
Gareth Taylor, Head of Compliance, Threadneedle Investment

Additional Speaking Faculty Forthcoming

REGISTER NOW by clicking here.

Please call the RCA for more information, 800-306-6133
or 212-997-3999