Regulatory Compliance Association Reviews


Enforcement, Compliance & Operations (ECO) 2017™

DATE: MAY 18TH, 2017


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



The RCA’s Board of Governors, Curriculum Development Team and Instructional Design Group are in the process of formulating the most timely and relevant subject matter for 2017 to deliver at the Symposium.

The 2017 Curriculum includes the following but may be modified so refer to this page or your Event iOS or Android App for the most up-to-date information:




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

8:15 am to 8:30 am – Chairman’s Opening Remarks
Walter Zebrowski, JD, CPA, Chairman, Regulatory Compliance Association

8:30 am to 9:20 am
Division of Trading & Markets Speaks – Key Priorities & Initiatives for 2017
Sr. Fellow from Practice: Catherine Smith, JD, General Counsel, Guidepoint Global LLC

9:25 am to 10:15 am
Successfully Addressing Latest Challenges with Fund/Product Launches, Restructuring and Wind Downs
Sr. Fellow from Practice: Ingrid Pierce, LLB, Partner, Walkers Global

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

10:40 am to 11:10 am
Designing the Trump Administration’s New Financial Regulatory Framework
Sr. Fellow from Practice: Paul Atkins, JD, Commissioner, SEC*

11:15 am to 12:30 pm – Extended Session, Audience Question Period
Examination Readiness Under New SEC and NFA Leadership: Shifting Priorities and Focus
Sr. Fellow from Practice: Christopher Wells, JD, Partner, Proskauer Rose
Scripted panels afford little practical insight…learn from unencumbered recent examinees who share their exclusive insights and intel regarding the actual tools, tactics and focus areas of examination staff.

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

1:30 pm to 2:45 pm – Extended Session, Audience Question Period
Rebooting your Compliance Program, Personnel, Training & Infrastructure
Sr. Fellow from Practice: Justin Shigemi, JD, Partner, Finn Dixon & Herling LLP

2:50 pm to 3:40 pm
Fiduciary Rule & Conflicts of Interest: Successfully Navigating the Shifting Tides
Sr. Fellow from Practice:   James Capezzuto, JD, CCO, Managing Director, Oppenheimer Asset management Inc.

3:45 pm to 5:15pm – Extended Session, Audience Question Period
Enforcement Practice 2017 – Comprehensive Analysis of SEC’s NEW Enforcement Manual (Part 2)
Sr. Fellow From Practice: Roel Campos, JD, Partner, Head of Securities Regulation and Enforcement, Hughes Hubbard & Reed, Commissioner, SEC (Former)

5:15 pm to 6:30pm – “Meet the Regulators” Networking & Cocktail Reception

For more information please call 800-306-6133 or you may register by Clicking Here.