Securities Act of 1933 & Securities Exchange Act of 1934
Investment Companies Act of 1940 & Investment Advisers Act of 1940
AIFMD & MiFIDs
FATCA
Law & Practice
Regulatory Compliance Association Reviews:
Operational Processes
Law & Taxation
Fund Accounting & Internal Control
Fund Governance & Risk Management
Compliance
Regulatory Compliance Association Reviews:
Compliance Practice & Procedure
Surveillance, Supervision & Case Management
Reporting & Remediation
Forensic Testing/Compliance Reviews
Examinations & Enforcement
Regulatory Compliance Association Reviews:
Examinations
Investigations
Criminal Prosecutions
Civil Enforcement
Chartered Regulatory Analyst (CRA)
If you are transitioning into a compliance officer role, or have compliance responsibilities – regulators will assess your accredited compliance officer training. Enforcement continues to target compliance officers, in-house counsel and operations executives with insufficient compliance training. Leading executives rely upon RCA accredited compliance officer courses and compliance officer training and become Chartered Regulatory Analyst (CRA).
Discover why over 18,000 Regulators, Compliance Officers, Legal Counsel, Operations Executives and Industry Practitioners use the RCA for their: • “Go to” Knowledge Resource – over 4500 topics of trusted information and materials for addressing weekly challenges and issues • Compliance Training and Remediation • Continuing Education – CPE, CLE and Continuing Compliance Education™ (CCE™)
Meet and network with the THE LARGEST COLLECTION OF SENIOR LEVEL REGULATORS, CCOs, COOs, GCs and Practice Leaders. Obtain the most timely, comprehensive and practical coverage and materials regarding the latest developments, areas of focus, new challenges and compliance training for Hedge Funds, Private Equity, VC, RIAs, CTAs and CPOs.
REGULATORY COMPLIANCE ASSOCIATION REVIEWS: The New Normal For The SEC – How Commission Trends Threaten Investment Advisers™ Investment advisors today are under fire from the SEC like never before. The SEC has expressly singled out the industry, and recently has begun to employ an increasingly aggressive set of DOJ-inspired enforcement tactics. This course will provide the tools for recognizing what these tactics are and how to respond to them…
Discover Why Over 18,000 Alternative Investment & Asset Management Executives Use RCA Curricula
The RCA Curriculum provides academically validated, timely, relevant, detailed and comprehensive programmatic coverage of over 4,000 subjects for the Asset Management and Financial Markets Sectors.
