Regulatory Compliance Association Reviews

Curriculum

Enforcement, Compliance &  Operations (ECO) 2016™

Carlo diFlorio aLOCATION: MANDARIN ORIENTAL, NEW YORK
DATE: MAY 17TH, 2016

SYMPOSIUM TUITION RATES

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

CURRICULUM

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

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

8:30 am to 9:20 am
Third Party Service Providers – Developing Effective Due Diligence and Supervisory Practices

9:25 am to 10:15 am
SEC Exam and NFA Audit Practice: 2016 Areas of Focus with Case Studies™
Recent examinees exams share their exclusive insights and intel regarding the actual tools, tactics and focus areas of examination staff.

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

10:40 am to 11:30 am
Division of Trading & Markets Speaks – Key Priorities & Initiatives for 2016

11:35 am to 12:25 pm
Conflicts of Interest: Updating Procedures, Practices and Documents to Address New SEC and DOL Fiduciary Initiative

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

1:30 pm to 2:20 pm
Cyber Security Attack Demonstration for Asset Managers

2:25 pm to 3:15 pm
Upgrading Compliance Supervision, Surveillance, Testing and Reviews

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

3:35 pm to 4:25 pm
Enforcement 2016 – New Priorities, Initiatives and Latest Developments™

4:25 pm to 5:15pm – Key Note
Tracey McDermott, Acting CEO, Financial Conduct Authority 

5:15 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.