IA Compliance: The Full 360° View East 
March 7-8, 2019 | Washington, D.C.

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Dec. 12, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: November 14, 2018 
 
HANDBOOKS
  Includes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar

The Adviser's Guide to SEC Advertising and Marketing Rules
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

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

 

CONFERENCE LISTINGS

IN-PERSON CONFERENCES

IA Watch conferences provide you with practical guidance to increase engagement in regulatory and compliance practices. By bringing together professionals in the industry to share their common challenges, we create new solutions and transform workplace culture to protect company reputations. Attend today to make sure your compliance program continues to evolve and adapt to current and future regulatory expectations.

21st Annual IA Compliance: The Full 360° View East
Thursday & Friday, March 7-8, 2019 | The Mayflower | Washington, D.C.
11th Annual IA Compliance: The Full 360° View Southwest
Friday, June 7, 2019 | The Fairmont Dallas | Dallas, TX
19th Annual Commitment to Compliance
Monday, September 16, 2019 | The Inn at Penn | Philadelphia, PA

CLE/CPE CREDIT SUBMISSION

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.

SPONSORSHIP OPPORTUNITIES


For full details and pricing on sponsorship and exhibitor opportunities or to create a custom package, please contact ANDREA TROUT at atrout@iawatch.com or 301-675-4262.

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