Regulatory Compliance Association Reviews

Curriculum

Regulation, Operations and Compliance (ROC) – Bermuda 2017™

1 M Ballroom c

The Fairmont Southampton, Bermuda
Date: April 26 – 28, 2017

Room Reservations: Call 1-800-441-1414
Refer “RCA 2017 Symposium” to receive reduced rate of $279 – $299 per night

SYMPOSIUM TUITION RATES

Standard Registration: $2098
Subsidized Registration: $1498
PracticEdge Members: $1198
RCA myUniversity: Complimentary
(Contact Your Curriculum Advisor)

16 hours of CLE and CPE (Accounting & Auditing Credit), CCE™ (The RCA is the exclusive programmatic accreditation agency for Continuing Compliance Education™)

 

CURRICULUM

DAY 1

9:00 a.m. to 4:00 p.m. – Experience Bermuda – Group & Networking Activities

CLICK HERE to learn more about the relaxing, restorative group activities and excusrions, including:

  • Chartered sailing excursions
  • Championship Golf and Tennis
  • Historic Tours in charming locales
  • The luxurious, world renowned Willow Stream Spa

* Delegates can schedule these activities for a half day or for the full day

5:00 p.m. to 7:00 p.m. – Symposium Welcome Reception – Bermuda Style

Meet in Person:

  • SEC Commissioners**
  • Director of Enforcement, SEC**
  • The Premier for the Government of Bermuda
  • The Deputy Premier & Finance Minister for the Government of Bermuda
  • The Minister of Economic Development for the Government of Bermuda

7:00 p.m. to 9:00 p.m. – Endowing Firm Hosted Dining Events

 

DAY 2

7:15 a.m. to 8:00 a.m. – Morning Regulator Networking Reception

8:00 a.m. to 8:10 a.m. – Chairman’s Opening Remarks

8:10 a.m. to 8:35 a.m. – Key Note
CFA’s New Qualitative Standards for Asset Managers – The Asset Management Code of Professional Conduct
Sr. Fellow from Practice: Kurt Schacht, JD, Managing Director, CFA Institute

8:40 a.m. to 9:55 a.m.
Fund/Product Launches: OMs, Investor Rights & Restrictions, SPVs – Latest Developments
Sr. Fellow From Practice: Brian Traficante, JD, SVP & Investment Counsel, York Capital

9:55 a.m. to 10:10 a.m. – Morning Tea & “Meet the Regulators”

10:15 a.m. to 11:00 a.m.
Code of Ethics
Sr. Fellow From Practice: Heather Traeger, JD, CCO, TTRS

11:05 a.m. to 12:25 p.m.
Enforcement Practice 2017 – Comprehensive Analysis of SEC’s Enforcement Manual
Sr. Fellow from Practice: Roel Campos, JD, Commissioner, SEC (Former)

12:30 p.m. to 1:30 p.m. – Luncheon & Regulator Networking Reception

1:30 p.m. to 2:20 p.m.
The Art of Successful Communication and Negotiation with Regulators
Chris Wells, JD, Partner, Proskauer

2:25 p.m. to 3:15 p.m.
Risk Inventory, Mapping & Gap Analysis – Upgrading Your Compliance Framework
Sr. Fellow From Practice: Beth Kramer, JD, Partner, Chadbourne & Parke LLP

3:15 p.m. to 3:35 p.m. – Afternoon Tea & Meet the Regulators Reception

3:35 p.m. to 4:25 p.m.
Effectively Responding to Highly Intrusive Fund Investor Requests
Sr. Fellow from Practice: Robert Van Grover, JD, Partner, Seward & Kissel

4:30 p.m. to 5:20 p.m.
Financial Statement Audits – Role of the CCO and GC
Sr. Fellow From Practice: Anthony Artabane, CPA

5:30 p.m. to 6:30 p.m. – Networking Cocktail Reception (Meet the Regulators)
RCA Fundraiser for Bermuda’s Advanced Workforce Training Program in Regulation & Compliance (Graduates Receive Certified Compliance Analyst Designation)

7:00 p.m. to 9:00 p.m. – Endowing Firm Hosted Dinning Events

 

DAY 3

7:15 a.m. to 8:00 a.m. – Morning Regulator Networking Reception

8:00 a.m. to 8:10 a.m. – Chairman’s Opening Remarks

8:15 a.m. to 8:40 a.m. – Bermuda – Setting the Standard in Asset Management
Sr. Fellow From Practice: Kiernan Bell, Chair, Bermuda Business Development Agency
The Premier for the Government of Bermuda
The Deputy Premier & Finance Minister for the Government of Bermuda
The Minister of Economic Development for the Government of Bermuda

8:45 a.m. to 10:00 a.m.
Offshore Jurisdictions – Emerging Legal & Regulatory Challenges & Opportunities
Sr. Fellow From Practice: John Wasty, LLB, Partner, Appleby

10:00 a.m. to 10:15 a.m. – Morning Coffee & Meet the Government of Bermuda

10:15 a.m. to 11:00 a.m.
Designing the Trump Administration’s New Financial Regulatory Framework
Sr. Fellow from Practice: Paul Atkins, JD, Partner, Patomak Global Partners,                                                         Adviser to President Trump,        Commissioner, SEC* (Former)