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
CONTACT US
Jim BeecherJim Beecher
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1-844-421-6333 ext. 4051
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Hugh KennedyHugh Kennedy
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Carl AyersCarl Ayers
Publisher
1-844-421-6333 ext. 4024
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Andrew UmhoeferAndrew Umhoefer
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and Operations

1-844-421-6333 ext. 4020
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James GaleJames Gale
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Suart GilmanStuart Gilman
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Jeff SabinJeff Sabin
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Kelly WeisKelly Weis
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1-844-421-6333 ext. 4012
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Joanna MatthewsJoanna Matthews
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1-844-421-6333 ext. 4010
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Andrea TroutAndrea Trout
Conference Relationship Manager
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John PrenticeJohn Prentice
Telesales, Conferences
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Lorri PorterLorri Porter
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1-844-421-6333 ext. 4090
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Terry GreenTerry Green
Telesales, Conferences
1-844-421-6333 ext. 8004
E-mail Terry
   

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