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)


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
Division of Trading & Markets Speaks – Key Priorities & Initiatives for 2017

9:25 am to 10:15 am
Successfully Addressing Latest Challenges with Fund/Product Launches, Restructuring and Wind Downs

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
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

2:50 pm to 3:40 pm
Fiduciary Rule & Conflicts of Interest: Successfully Navigating the Shifting Tides
Sr. Fellow from Practice, Andrew “Buddy” Donohue, JD, Chief of Staff, SEC*

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, Commissioner, SEC*

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

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