Regulation and Compliance

Regulation and Compliance - Conferences

Investment Regulation and Compliance Conferences. In this part of the site, we list investment conferences for compliance professionals, regulators, lawyers and investment professionals seeking to improve their processes for working within regulatory constraints. The CFA Institute run a number of U.S. events on GIPS standards and compliance. FRA run events on compliance within the private fund industry (including hedge fund compliance). PEI focus their compliance event on private equity, and BVCA run a tax, legal and regulatory event in London. FTF run a "SMAC" event focussing on social media and compliance. Other key themes covered by conferences on this page include regulation and risk management, regulation and fund accounting, and topics such as AIFMD, Dodd-Frank, Solvency II and capital requirements, advertising regulations, recordkeeping, financial promotions, best execution, soft commissions and many more.

    FIMA Europe (London) 8-9 Nov 2017

    • 08 Nov 2017 - 09 Nov 2017 
    • Organiser: WBR Events
    • London, UK

    Financial Information Management Europe 2017 provides a key networking and educational venue for strategy improvement relating to aligning business goals, managing costs, and meeting regulatory ...

    Corporate Legal Excellence (Riyadh) 13-14 Nov 2017

    • 13 Nov 2017 - 14 Nov 2017 
    • Organiser: Marcus Evans
    • Riyadh, Saudi Arabia

    This year’s Corporate Legal Excellence will take place on 13th and 14th November. The event brought to you by Marcus Evans conferences is to be held in Riyadh, Saudi Arabia and will focus on ...