Regulatory Compliance Association Reviews

Curriculum


Enforcement, Compliance & Operations (ECO) 2014™

Carlo diFlorio a
Location: The New York Marriott Marquis, New York, NY
Date: May 1st, 2014

Standard Registration: $1048

Subsidized Registration: $797

7:15 AM to 8:15 AM
Symposium Registration and Morning Regulator Networking Reception
– Coffee, tea and light fare will be served.

8:15 AM to 8:30 AM
Chairman’s Opening Remarks
   Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
   Chairman, Regulatory Compliance Association

8:30 AM to 9:00 AM
Key Note – Norman Champ, JD, Director, Division of Investment Management

9:00 AM to 10:20 AM
Developing a 206(4)7 Compliant Supervision and Remediation Process
Recent Enforcement activity mandating independent monitoring and remediation demonstrates an escalating standard for Compliance Supervision & Training

10:20 AM to 10:45 AM – Morning Tea & “Meet the Regulators”

10:45 AM to 11:35 AM
Regulatory Practice & Reporting: Addressing Emerging Areas of Heightened Scrutiny

11:40 AM to 12:30 PM
Emerging SEC Examination and NFA Audit Practice – Recent Case Studies
CCOs from Top 100 Hedge Funds and Private Equity Firms shall provide exclusive insights regarding current or ongoing SEC Examinations

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


1:30 PM to 2:20 PM
Enforcement 2014 – Identifying & Investigating Targets, Emerging Priorities, and Latest Developments

2:25 PM to 3:15 PM
Refining Operational Processes & Fund Administration to Address Heightened Regulatory Scrutiny
A recent $9,000,000 fine against a Fund Managers dictates firms revamp operational practices and controls

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

3:35 PM to 4:25 PM
Key Note – 2014 SEC Examination Priorities for Fund Managers & RIAs 
Andrew Bowden, JD, Director, OCIE, SEC 

4:30 PM to 5:20 PM
New “Risk-Focused” Tools and Technology for Examinations – Comprehensive Analysis

5:30 PM to 6:30 PM

“Support Our Veterans” Cocktail Reception & “Meet the Regulators” 

For more information please call 800-306-6133 or you may register by clicking here.