Regulatory Compliance Association Reviews

Enforcement, Compliance & Operations (ECO) – NYC 2018™


DATE: May 15, 2018


Standard Registration: $1,298
Subsidized Registration: $998 
PracticEdge Members: $698
RCA myUniversity: Complimentary (Contact Your Curriculum Advisor)

8 hours of CLE, CPE and CCE™ (The RCA is the exclusive programmatic accreditation agency for Continuing Compliance Education™)

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 the 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.

Enforcement, Compliance & Operations (ECO) – New York 2018™ 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 ensure that the Faculty delivers the most timely, practical and actionable guidance to:

  • Upgrade compliance controls, testing and reviews to avoid deficiencies;
  • Address the 2018 Examination priorities and tactics;
  • Develop a deep understanding of the latest Enforcement initiatives;
  • Vendor oversight and risk management programs – emerging issues;
  • Personal liability for compliance officers, in-house counsel and portfolio managers; and
  • Advanced Information Security briefing for alternative investment and asset management executives.

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