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2014 Regulatory Compliance Exchange

2014 Regulatory Compliance Exchange

Intelligence for Imminent Regulatory Change

March 26, 2014 – March 28, 2014
Hotel Monteleone, New Orleans, LA USA
Jointly hosted by LIMRA and LOMA

Who Attends

  • Chief Compliance Officers — Compliance and Internal Audit
  • Legal Counsel, General Counsel, and Attorneys 
  • Compliance and Market Conduct VPs, Directors, and Managers 
  • Compliance, Market Conduct, and Legal Staff 
  • Audit and Risk Management Managers and Staff 
  • AIRC Designees (who receive $100 off the member rate when they register)


The Regulatory Compliance Exchange is a unique meeting planned by Compliance professionals for Compliance professionals. We meet each year to discuss crucial regulatory issues and learn effective compliance practices from peers and topical experts. We cover a broad range of topics — from strategic issues to effective practices — and will feature a revealing panel discussion by industry regulators. The 2014 meeting will address these topics and more:

  • Unclaimed property
  • Elder Fraud
  • Suitability
  • Complaints
  • Mobile apps
  • The Foreign Account Tax Compliance Act (FATCA)
  • Cyber threats
  • Aging producers
  • Branch office supervision

Take this opportunity to meet with peers who face the same challenges you do.

A Note To Compliance Executives:
This meeting features executive roundtable meetings where you can share your thoughts in a collaborative environment.

Continuing Professional Education Credit

CLE: This program has been APPROVED by the State Bar of Louisiana for 11.25 hours of credit. Additional information will be available at the conference. Please check with your state for reciprocity.

PACE Credits: A PACE form will be available for your records to qualify for CLU and ChFC continuing education requirements only. If you have any questions or need more information about the PACE program, please contact Student Services, The American College, 270 Bryn Mawr Avenue, Bryn Mawr, PA 19010, phone (619) 526-1490.

Thank You to Our Sponsors

For More Information
     Contact Joan O'Neil 
    Watch Theresa Payton on the Daily Show
    Payton - Daily Show
    Download our 2014 event program