RC Unplugged Conference to Provide Valuable Regulatory Compliance Insights

Dec 04, 2013, 15:20 ET from Regulatory Compliance

LONDONDERRY, N.H., Dec. 4, 2013 /PRNewswire/ -- As the regulatory climate has changed post-Madoff, securities industry firms can expect more risk-based scrutiny from federal and state regulators, instead of check-the-box regulatory reviews. This change in regulatory approach requires a new understanding of compliance, the focus of the Regulatory Compliance Unplugged conference planned for June 23-24 at the Boca Raton Resort & Club in Boca Raton, Florida. Former New York Attorney General and Governor Eliot Spitzer and former White House director of economic policy Todd Buchholz will share their industry perspectives with conference attendees.

The conference is designed to provide broker-dealers, investment advisers and hedge fund managers with insight from regulators on how they determine which areas of a firm's business pose the biggest risk to the investing public and require auditing. Regulatory compliance experts will discuss how to create a culture of compliance to avoid these risks.

Conference attendees can choose from many interactive sessions designed specifically for their business model. Sessions will explore topics such as dealing with new regulations, regulator expectations during exams, cybercrime, avoiding conflicts of interest, navigating advertising and social media minefields, preparing for disasters and much more. Attendees will gain practical strategies for building and implementing a risk-based compliance culture. Session presenters include a wide range of securities industry compliance specialists, including current and former regulators.

"The conference will give attendees an opportunity to hear from industry experts and network with their peers to learn about compliance best practices," says Stephen Sussman, CEO of Regulatory Compliance, host of the conference. "They will also have easy access to Regulatory Compliance staff for answers to their compliance questions. The compliance knowledge gained can help firms make the changes needed to avoid fines, penalties and potential suspension if regulators find compliance irregularities."

Conference attendees will have opportunities to meet with conference exhibitors and sponsors to learn about the latest automated compliance tools that help firms more easily manage their compliance responsibilities. (ANGELL Pension Group, Smarsh, NSCP, Starkweather & Shepley, Demarco Sciaccotta Wilkens & Dunleavy, and NAPLIA)

Early bird registration for the Regulatory Compliance Unplugged conference runs through December 31. For more information on the conference, sessions and registration, visit www.RCunplugged.com. To learn about continuing education credits (CPE, CLE or CFP) or conference exhibitor and sponsorship opportunities or general services from Regulatory Compliance visit our website www.RegulatoryCompliance.com, or contact Sarah Vaira at 603-216-8919 sv@regulatorycompliance.com.

SOURCE Regulatory Compliance