Regulatory Compliance Association Reviews

Regulation and Compliance Summit – Hong Kong 2017™

10 Apr 2017

Regulation and Compliance Summit – Hong Kong 2017™

  • Regulation & Compliance - Hong Kong
    May 11, 2017
    12:30 pm - 4:00 pm

The RCA/Goldman Sachs Regulation and Compliance Summit – Hong Kong 2017™ Summit promises to deliver an informative, peer-driven curriculum, including timely perspectives, actionable advice, and practical guidance.

SUMMIT TUITION

Goldman Sachs Prime Services Clients in Asia: $0
PracticEdge & CompliancEdge Members: Complimentary
Chartered Regulatory Counsel (CRC): Complimentary
Standard Registration: $595

 

CURRICULUM:

12:30 pm to 1:30 pm
“Meet the Regulators” Networking Luncheon

1:30 pm to 2:45 pm
Upgrading Compliance Controls, Supervision, Testing and Reviews

2:45 pm to 4:00 pm
SEC & NFA Exam Readiness and Enforcement

 

FACULTY:

Roel Campos, JD, Commissioner, SEC (Former)
Regina Theole, SVP, National Futures Association
Patricia Cushing, Director of Compliance, National Futures Association
Kevin Goldstein, Executive Director, RCA – Asia
Peter Tillman, Head of Compliance, Asia, Millennium​ Partners
Jim Phlog, JD, CCO, Ashford Investment Management
Doug Litowitz, JD, Head of Legal and Compliance, SBI Securities
Robert Van Grover, JD, Partner, Seward & Kissel
Matthew Eisenberg, JD, Partner, Finn Dixon & Herling
Karl Egbert, JD, Partner, Dechert