Regulatory Compliance Association Reviews

Curriculum

Regulation, Operations and Compliance (ROC) – Bermuda 2016™

1 M Ballroom c

The Fairmont Southampton, Bermuda
Date: April 17 – 19, 2016

Room Reservations: Call 1-800-441-1414
Refer “RCA 2016 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

SUNDAY, APRIL 17, 2016

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*
  • Deputy Attorney General, US Department of Justice*
  • The President of the National Futures Association
  • Director of Enforcement, SEC*
  • Director of Investment Management, 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

 

MONDAY, APRIL 18, 2016

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: Kurt Schacht, JD, Managing Director, CFA Institute

8:40 a.m. to 9:30 a.m.
The Art of Successful Communication and Negotiation with Regulators™

9:35 a.m. to 10:25 a.m.
Offshore Jurisdictions – Emerging Legal & Regulatory Challenges & Opportunities

10:25 a.m. to 10:50 a.m. – Morning Coffee & Meet the Regulators Reception

10:50 a.m. to 11:40 a.m.
Essential Cybersecurity for Investment Advisors: Seeing Yourself as a Hacker Does

11:40 a.m. to 12:30 p.m.
Conflicts of Interest: Addressing the Recent Spate of Enforcement Actions

12:30 p.m. to 1:45 p.m. – Luncheon & Regulator Networking Reception

1:45 p.m. to 2:35 p.m.
Fund Governance – Evolving Landscape and Latest Developments

2:40 p.m. to 3:30 p.m.
Revising Fund Documents to Address Recent Enforcement Activity and Investor Concerns

3:30 p.m. to 3:45 p.m. – Afternoon Tea & Meet the Regulators Reception

3:45 p.m. to 4:35 p.m.
Annual Compliance Reviews: Upgrading Your Process for Maximum Effectiveness™

4:40 p.m. to 5:30 p.m.
Developing Forensic Testing and Smart Compliance Analytics – Comprehensive Case Study™

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 Chartered Regulatory Counsel Designation)

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

 

TUESDAY, APRIL 19, 2016

7:30 a.m. to 8:15 a.m. – Morning Networking Reception – Meet the Commissioners

8:15 a.m. to 8:25 a.m. – Chairman’s Opening Remarks

8:30 a.m. to 8:55 a.m. – Bermuda – Maintaining the Highest Standards to Protect Institutional Investors
The Premier for the Government of Bermuda
The Deputy Premier & Finance Minister for the Government of Bermuda

9:00 a.m. to 10:15 a.m.
Commissioners Round Table – Navigating the New Normal™
Roel Campos, JD, Commissioner, SEC**
Paul Atkins, JD, Commissioner, SEC**
Troy Paredes, JD Commissioner, SEC**
Daniel Roth, JD, CEO & President, NFA

10:15 a.m. to 10:35 a.m. – Morning Coffee & Meet the Regulators Reception

10:35 a.m. to 11:25 a.m.
Vendor & Counterparty Oversight and Risk Management – Emerging Issues™ 

11:30 a.m. to 12:20 p.m.
Navigating the Audit Impact of Investigations and Enforcement Actions™

12:20 p.m. to 1:30 p.m. – Bermuda Style Luncheon Networking Reception