Regulatory Compliance Association Reviews


Compliance, Risk & Enforcement (CRE) 2016™

Judge Parker aLOCATION: New York Marriott Marquis
DATE: November 2, 2016


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 Networking Reception

8:15 am to 8:30 am
Chairman’s Opening Remarks

8:30 am to 9:20 am
CyberSecurity – Advanced Issues and Practices for Asset Managers

9:25 am to 10:15 am
Redemptions, Gating, Wind Downs and Liquidity – Emerging Issues and Concerns

10:15 am to 10:40 am – Morning Tea & “Meet the Regulators” Reception

10:40 am to 11:30 am
Conflicts of Interest: Updating Procedures, Practices and Documents to Address New SEC and DOL Fiduciary Initiative

11:35 am to 12:25 pm
SEC Exam and NFA Audit Practice: 2017 Areas of Focus with Case Studies™
Recent examinees exams 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 2:00 pm
Addressing the NEW Form ADV and Performance Reporting Requirements


2017 Investor Due Diligence Requirements: Compliance Transparency™ and beyond

2:05 pm to 3:20 pm
Upgrading Compliance Supervision, Surveillance, Testing and Reviews

3:20 pm to 3:35 pm – Afternoon Tea & “Meet the Regulators” Reception

3:35 pm to 4:25 pm
Enforcement 2016 – New Priorities, Initiatives and Latest Developments™

4:25 pm to 5:15 pm
Key Note: SEC Commissioners Roundtable – New Focus & Priorities in 2017

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

Please note the above Curriculum is subject to change. For more information please call 800-306-6133 or you may register by Clicking Here.