IA Compliance: The Full 360° View East
March 21-23 | Washington, D.C.

IA Compliance: The Full 360° View Midwest
June 25 | Chicago, IL
Conquering Current Compliance Challenges
Mar. 7, 2018 | 2:00 - 2:30 PM EST

FinTech: What It Is and How Its Promise Will Affect You Going Forward
Mar. 27, 2018 | 2:00 - 3:00 PM EST
CLE/CPE Approved 
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: Feb. 7, 2018 
 
Your Complete Guide to the New Form ADV
Includes: 20 Best Practices, 6 Peer-tested Tools and a 60-minute Webinar 

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance
TOP STORIES
IA
2/22/2018
Everybody seems to be talking about cryptocurrencies. It’s one reason OCIE has made it a new item on its 2018 exam priorities’ list (IA Watch, Feb. 7,...
IA
2/22/2018
SEC commissioners acted Feb. 21 to push back the start of its liquidity risk management rule from this December to June 2019. The motive was to give f...
BD
2/22/2018
FINRA is dialed in to ensuring a consistent approach to enforcement so that you know what you can expect from the SRO and then can move on shaping you...
Latest News
2/22/2018 | Content areas: Investment Adviser

Now that you have four months to decide whether to take advantage of the SEC’s offer to self-report share class violations, don’t dally (IA Watch, Feb...

2/22/2018 | Content areas: Investment Adviser

The upshot of a unanimous Supreme Court decision Feb. 21 is that whistleblowers will now more likely take their concerns to the SEC, perhaps circumven...

2/22/2018 | Content areas: Investment Adviser

You’re only two months away from the effective date of a new EU rule that carries potentially hugely expensive penalties for violations.   Perhaps you...

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