IA Compliance: The Full 360° View Midwest
June 25 | Chicago, IL

Commitment to Compliance
September 17 | Philadelphia
Conquering Current Compliance Challenges
July 11, 2018 | 2:00 - 2:30 PM EST

Compliance Best Practices for Busy IA CCOs
July 17, 2018 | 2:00 - 3:00 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 20, 2018 
 
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

Your Complete Guide to the New Form ADV
Includes: 20 Best Practices, 6 Peer-tested Tools and a 60-minute Webinar 

 

EXECUTIVE EDUCATION

CREDIT SUBMISSION INFORMATION

All webinars and live conferences are pre-approved through the state of Pennsylvania. Regulatory Compliance Watch chose Pennsylvania as our National Provider due to their strict program requirements for CLE/CPE approval. If you are located outside of Pennsylvania, you simply need to submit your state’s CLE/CPE forms with the course information to the Pennsylvania CLE Board for approval. Common states our credits are accepted in include New York, Texas, California, Illinois, and Florida.

To date, Regulatory Compliance Watch has not been declined approval in any state for our executive education. Please use the above state links to access your state’s form, or contact your state’s CLE/CPE Board for course submission instructions. Our team is happy to assist you in completing your forms. Simply call 1-888-234-7281 or e-mail customer@regcompliancewatch.com for assistance.

CONFERENCE LISTINGS

IN-PERSON CONFERENCES

IA Compliance: the Full 360° View Midwest
June 25, 2018 | The Intercontinental Magnificent Mile | Chicago, IL
Commitment to Compliance
September 17, 2018 | The Inn at Penn | Philadelphia, PA
© 2018 UCG. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US