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Past Event
18 April 2013
7:30 AM – 5:30 PM EST

The Regulatory Compliance Association Presents: Regulation, Operations & Compliance (ROC) 2013™

SEC Commissioner Luis Aguilar will deliver a Key Note address highlighting top priorities for Fund Managers and Registered Investment Advisers at the RCA’s Regulation, Operations and Compliance (ROC) 2013 Symposium on April 18th at the Pierre Hotel.

In particular - the nomination of Mary Jo White for SEC Chairman clearly signals of a new era of aggressive enforcement at the SEC.

Since the President is unencumbered by re-election concerns – the Administration plans to aggressively pursue enforcing Dodd-Frank over the next 4 years.

Commentary during the Symposium will include the significant impact upon compliance, operations and risk management for Fund Managers and Registered Investment Advisers.

In order to hurdle these challenges and seize the opportunities, the RCA has assembled its Law and Masters Concentration Faculty and Guest Lectures to supply invaluable and comprehensive insight, as well as practical and actionable guidance.

Learn from THE LARGEST COLLECTION OF SENIOR FEDERAL INVESTIGATORS, PROSECUTORS AND REGULATORS, who will address the latest developments, areas of focus, and new regulatory challenges for Hedge Funds, Private Equity, Venture and Investment Advisers.

The balance of the Faculty and Guest Lecturers shall explore emerging opportunities, examine how to refine operational and compliance processes and enhance risk management and governance practices to capture new Allocator mandates.

Date, Time & Location
April 18, 2013
Time: 7:30 AM – 5:30 PM EST
The Pierre Hotel, New York, NY

Registration Details: 
Special Early Bird Discounted Rates
Registration for RCA Members, NFA Members, CAIA Members, AIMA Members, CFA Institute Members, Institutional Investors, Asset Manager Personnel or clients of Ernst & Young, Rothstein Kass, Finn Dixon & Herling, Proskauer, JP Morgan, Mayer Brown, Seward & Kissel, or subscribers of Hedge Fund Law Report: $498.00
Standard Registration: $723

Mayer Brown's Rory Cohen is an Accredited Symposium speaker.

View the Speaker List
View the Curriculum

For more information please visit: https://www.rcaonline.org/symposia/regulation-operations-compliance-2013

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