Regulatory Compliance Association Reviews

Compliance, Risk & Enforcement – New York 2015™


The Regulatory Compliance Association presents Compliance, Risk & Enforcement (CRE) – New York 2014

LOCATION: New York Marriott Marquis
DATE: November 3, 2015


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

8 hours of CPE
8 hours of CLE
8 hours of CCE (Continuing Compliance Education™ – RCA is the exclusive Programtic Accreditation Agency for CCE™)

Several governmental agencies have intensified their focus on hedge funds, private equity firms and other asset managers. Specifically, the SEC, CFTC, NFA, DOJ, IRS and DOL continue to expand their regulation, compliance requirements and reporting obligations while intensifying examination and enforcement activities.

In order to compete – firms must upgrade compliance processes, operational practices and reporting structures.

Additionally, recent enforcement activity continues to mandate the “formal training” of personnel. Therefore, in order for senior management of an Alternative Investment or Asset Management firm to properly insulate themselves from liability – accredited professional development has become paramount.

Moreover, Institutional Investors require new levels of service and customized investment products from Fund Managers. To capture these emerging opportunities, Fund Managers must create new compliance, operational and risk management infrastructure, provide advanced training to personnel and integrate new processes with administrators.

Compliance, Risk & Enforcement – New York 2015™ will feature the LARGEST COLLECTION OF SENIOR REGULATORS detailing the latest tactics, developments and priorities.

Moreover – the RCA’s 13 phase Academic and Accreditation Process will insure that the Speaking Faculty delivers the most timely, practical and actionable guidance to:

  • Create a cybersecurity program tailored to your firm, as the Curriculum will include a 5-hour course, with 2 leading SEC cybersecurity officials*,
  • Address the 2016 Examination priorities and tactics,
  • Develop a deep understanding of the latest enforcement initiatives,
  • Upgrade your compliance procedures, controls, testing and annual review, and
  • Improve your operational practices and use of administrators.

For more information please call 800-306-6133 or you may register by clicking here.

Register Now