Regulatory Compliance Association Reviews

Curriculum

Compliance, Risk & Enforcement (CRE) 2015™

Carlo diFlorio aLOCATION: New York Marriott Marquis
DATE: November 3, 2015

SYMPOSIUM TUITION RATES

Standard Registration: $898
Subsidized Registration: $698 
PracticEdge Members: $398
RCA myUniversity: Complimentary (Contact Your Curriculum Advisor)

CURRICULUM

7:15 am to 8:00 am
Symposium Registration & Morning Regulator Networking Reception

8:00 am to 8:15 am
Chairman’s Opening Remarks

8:15 am to 9:05 am
Vendor Oversight and Risk Management Programs – Emerging Issues

9:10 am to 9:35 am – Keynote Address:
The Honorable Barrington D. Parker, JD, U.S. Circuit Judge, U.S. Court of Appeals for the Second Circuit

9:40 am to 10:30 am
SEC and NFA Examination Practice – 2016 Priorities, Strategies and Focus Areas

10:30 am to 10:45 am – Morning Tea & “Meet the Regulators” Reception

10:45 am to 11:35 am
Conflicts of Interest: Fiduciary Duty, Allocation and Emerging Issues

11:40 am to 12:30 pm
Global Regulatory Reporting: Areas of Scrutiny in 2016

12:30 pm to 1:30 pm – Luncheon & Regulator Networking Reception

1:30 pm to 2:20 pm
Upgrading Compliance Supervision, Surveillance, Testing and Reviews

2:25 pm to 3:15 pm
Enforcement 2016 – Emerging Priorities and Developments

3:15 pm to 3:35 pm – Afternoon Tea & “Meet the Regulators” Reception

3:35 pm to 4:25 pm
Improving Operational Process and Controls for Heightened Regulatory Scrutiny – An Och Ziff Case Study

4:30 pm to 5:00 pm
CyberSecurity – Advanced Practices for Asset Managers, Enforcement Case Study

5:00 pm to 6:00 pm – Support Our Veterans Cocktail & “Meet the Regulators” Reception

Please note the above Curriculum is subject to change. For more information please call 800-306-6133 or you may register by Clicking Here.