Regulatory Compliance Association Reviews


Compliance, Risk & Enforcement (CRE) 2017™

Judge Parker aLOCATION: New York Marriott Marquis
DATE: November 7, 2017


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



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

8:15 am to 8:30 am
Chairman’s Opening Remarks

8:30 am to 9:20 am
Successfully Addressing Latest Challenges with Fund/Product Launches, Restructuring and Wind Downs
Audience Questions Lightning Round

9:25 am to 10:15 am
Conflicts of Interest: Updating Procedures, Practices and Documents to Address New SEC and DOL Fiduciary Initiative
Audience Questions Lightning Round

10:15 am to 10:40 am – Morning Tea & “Meet the Regulators” Reception

10:40 am to 11:30 am
Examination Readiness Under an Evolving SEC and NFA Environment
Audience Questions Lightning Round

11:35 am to 12:25 pm
MiFiDS: Practical Implications Unintended Consequences
Audience Questions Lightning Round

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

1:35 pm to 2:20 pm
Rebooting your Compliance Program, Personnel, Training & Infrastructure (Back to the Basics)
Audience Questions Lightning Round

2:25 pm to 3:15 pm
Enforcement Practice 2017 – Comprehensive Analysis of SEC’s NEW Enforcement Manual 
Audience Questions Lightning Round

3:15 pm to 3:30 pm – Afternoon Tea & “Meet the Regulators” Reception

3:30 pm to 5:00 pm
Key Note: SEC Commissioners Roundtable – New Focus & Priorities in 2017
Audience Questions Lightning Round

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

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