Regulatory Compliance Association Reviews


Enforcement, Compliance & Operations (ECO) 2014™

1 M Ballroom c

Location: The New York Marriott Marquis, New York, NY
Date: May 1st, 2014
Time: 8 am to 5:30 pm

Standard Registration: $1048

Subsidized Registration: $797

The SEC just published its 2014 Examination Priorities. While the cover letter and first few pages provide general guidance – the Release furnishes examination priorities specifically targeting “Alternative” Investment Companies, including:

  • The staffing, funding, and empowerment of boards, compliance personnel, and back-offices;
  • Leverage, liquidity and valuation policies and practices; and
  • The manner in which such funds are marketed to investors.

Learn how to protect your firm from the reputational risks posed by the new paradigm of regulatory compliance, reporting, examinations and enforcement.

Enforcement, Compliance & Operations – New York 2014 will feature the LARGEST COLLECTION OF SENIOR FEDERAL INVESTIGATORS, PROSECUTORS AND REGULATORS detailing the latest investigatory tactics and enforcement priorities.

Moreover – the CCOs, GCs and the Practice Leaders of the industry’s most renown firms will deliver practical and actionable guidance to:

  • Formulate or refine your regulatory reporting processes (AIFMD, IRS, SEC, CFTC, NFA);
  • Improve your compliance procedures, controls, testing and annual review;
  • Enhance your operational practices;
  • Acquire the latest intel to prepare for an SEC Examination or NFA Audit;
  • Develop a deep understanding of investigatory techniques and enforcement priorities in 2014 to protect your firm.

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