Conquering Current Compliance Challenges
Nov. 14, 2018 | 2:00 - 2:30 PM EST

Ethics: The Compliance Officer’s Role in Encouraging Your Firm
to Do the Right Thing

Oct. 23, 2018 | 2:00 - 3:00 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: October 10, 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

 
CONTACT US at 1-800-455-5844
Jim BeecherJim Beecher
President
Ext. 4501
E-mail Jim
Hugh KennedyHugh Kennedy
Group Publisher
Ext. 4030
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Carl AyersCarl Ayers
Publisher
Ext. 4024
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Andrew UmhoeferAndrew Umhoefer
Sr. Director of Marketing
& Operations

Ext. 4020
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James GaleJames Gale
Director of Sales
Ext. 4050
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Alicia MichaelsAlicia Michaels
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Shelly Beaird-FrancoisShelly
Beaird-Francois

Marketing Manager
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Marquia ParnellMarquia Parnell
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Stuart GilmanStuart Gilman
Account Executive
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Jeff SabinJeff Sabin
Account Executive
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Kelly WeisKelly Weis
Account Executive
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Joel SchultzJoel Schultz
Account Executive
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Robert HuffRobert Huff
Account Executive
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Andrea TroutAndrea Trout
Conference Relationship Mgr.
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Terry GreenTerry Green
Telesales, Conferences
Ext. 8004
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Brian McCabeBrian McCabe
Telesales, Conferences
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E-mail Brian
   

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