RegEd Compliance Alliance 2019
2019 was a year of new milestones for RCA. With more than 180 attendees, RCA 2019 was the most well-attended RegEd client conference since our inaugural RCA in 2011.
While the beautiful Fort Lauderdale was spectacular, it wasn’t just fun at the beach. With input from our clients, we created a substantive conference program designed to impart critical regulatory and compliance information and best practices across operations and compliance. During RCA 2019 the RegEd Product Management team hosted five Client Advisory Boards, helping to guide RegEd’s product roadmap and cross-pollinating client use-case knowledge. The RegEd Solutions in Action section of the RCA program provided a preview of exciting new functionality resulting from the significant investment RegEd continues to make to address our clients’ needs and new industry challenges. And, thanks to the regulators, expert panelists and speakers who participated, our clients gave RCA 2019 the highest ratings across all major categories, including Strength of Program, Relevance of Program, Knowledge of Speakers and more.
RCA 2019 Highlights
FINRA, SEC and State Securities Enforcement Trends
In this session, current and former FINRA enforcement staff discussed FINRA enforcement priorities and methodologies, and examined lessons from recent cases that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding.
Keynote 2019: Heartificial Intelligence
In this year’s keynote, John C. Havens, Executive Director, IEEE Global Initiative on Ethics of Autonomous and Intelligent Systems, presents his recommendations for prioritizing ethical considerations in the design of autonomous and intelligent systems.