Regulatory Compliance Association Reviews

Compliance Vision 2021™ Curriculum

Date: November 7, 2019

The Symposium qualifies for up to 8 hours of CCE® (Continuing Compliance Education), CPE (AA hours) and CLE*

7:15 am to 8:15 am
Symposium Registration & Morning “Meet the Regulators” Reception

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

8:30 am to 9:20 am
RegTeligence 2020 – The ERA of Trump Deregulation
Exclusive Insights from Government Officials and Industry Leadership

9:25 am to 10:15 am
Enforcement Landscape and Initiatives for 2020

10:15 am to 10:30 am – Morning Tea & “Meet the Regulators” Reception

10:30 am to 11:20 am
Identifying and Addressing 2020 Regulatory Priorities – Effectively Securing Buy-in and Budget

11:25 am to 12:15 pm
Meeting NEW NFA and SEC Exam Expectations

12:15 pm to 1:15 pm – Luncheon & Regulator Networking Reception

1:30 pm to 2:20 pm
Creating a Compliance Vision to Best Address Compliance Climate Change

2:25 pm to 3:15 pm
Upgrading Compliance Surveillance, Supervision, Smart Analytics, Reviews and Testing – Resource Allocation Amid a Shifting Landscape

3:30 pm to 5:00 pm – Compliance Climate Change Discussion Groups, Identifying and Addressing Emerging Business Issues and Firm Challenges to Effectively Secure Maximum “Buy-in” and Budget

  • CCO Compliance Climate Change Group (Small/Mid-sized Firms)
  • CCO Compliance Climate Change™ Group (Large Firms) 

In-house Counsel Change Management Discussion Group

5:00 pm to 6:00 pm – PRIVATE (closed) Networking Reception…a unique opportunity to continue the Compliance Climate Change and In-house Counsel Change Management Conversation

Scholarship Fundraiser for Veterans and Single Mothers Transitioning into Careers in Compliance

BONUS SESSIONS*

Professional Responsibility for Legal and Compliance Executives
5 hours of Ethics CLE* (NY State Bar Approved)
Sr. Fellow from Practice: Andrew Oringer, JD, Partner, Dechert LLP

AML Compliance for Fund Managers
2 credit hours of CCE® (Continuing Compliance Education), CLE* and CPE
Sr. Fellow from Practice: Harry Wedewer, JD, Assistant Chief Counsel, Division of Enforcement, CFTC

Emerging Issues in Valuation Regulation and Compliance
2 credit hours of CCE® (Continuing Compliance Education), CLE* and CPE
Sr. Fellow from Practice: Mark Perlow, JD, Partner, Dechert LLP

Insider Trading and Information Barriers – Surveillance, Controls and Analytics
2 credit hours of CCE® (Continuing Compliance Education), CLE* and CPE
Sr. Fellow from Practice: Catherine Smith, GC, Guidepoint Global

2020 GIPS Update Webinar Session – November 12, 2019 at noon
2 credit hours of CCE® (Continuing Compliance Education), CLE* and CPE
Sr. Fellow from Practice: Beth Kaiser, Director- Investment Performance Standards, CFA Institute

*These sessions comprise 2019 CCE® (Continuing Compliance Education) accredited courses contained within RCA’s:

  • Talent Assessment Center
  • Talent Development System
  • Executive LLM and Master’s Degree and 
  • Professional Examination Programs

 

*Application for New York Accredited Provider status is currently pending.