Regulatory Compliance Association Reviews


Compliance, Risk & Enforcement 2017™

Judge Parker aLOCATION: New York Marriott Marquis
DATE: November 7, 2017


Standard Registration: $1,098
Subsidized Registration: $898 
PracticEdge Members: $598
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 9:30 am
New Political Landscape’s Impact Upon the Asset Management Industry
Faculty Includes High Ranking Congressmen
Audience Questions Lightning Round

9:35 am to 10:25 am
Marketing and Advertising Compliance – Addressing OCIE’s Top 9 Deficiencies
Audience Questions Lightning Round

10:25 am to 10:45 am – Morning Tea & “Meet the Regulators” Reception

10:45 am to 12:00 pm
Upgrading Supervision, Surveillance, Testing and Reviews – Meeting NEW SEC Expectations in 2018
Audience Questions Lightning Round

12:00 pm to 12:15 pm
Chartered Regulatory Counsel Exam & Executive Masters in Regulation in Compliance Honors Convocation

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

1:20 pm to 2:15 pm
2018 Exam Priorities, Initiatives, Processes and Technologies
Audience Questions Lightning Round

2:20 pm to 3:15 pm
Enforcement and Insider Trading – Emerging Issues and SEC Priorities in 2018
Audience Questions Lightning Round

3:20 pm to 3:30 pm – Afternoon Tea & “Meet the Regulators” Reception

3:30 pm to 4:25 pm
Key Note: SEC Commissioners Roundtable – New Focus & Priorities in 2017
Audience Questions Lightning Round

4:30 pm to 5:15 pm
The Art of Successfully Communicating and Negotiating with Regulators
Audience Questions Lightning Round

5:15 pm to 6:15 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.