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.
New York, New York