Conquering Current Compliance Challenges
May 15, 2019 | 2:00 - 2:30 PM EST

Conquering Current Compliance Challenges
Recorded: April 10, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 Regulatory Compliance Watch Videos
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Guidance for the New CCO

Guidance for the New CCO (1:48)

Published March 18, 2019
Guidance for the New CCO

Compliance tips for the GDPR

A Process for Your Annual Review (5:34)

Published January 12, 2019
Tips for your annual review

Compliance tips for the GDPR

Compliance Tips for the EU's General Data Protection Regulation (2:44)

Published August 2, 2018
Tips to comply with the EU's GDPR

OCIE Director Peter Driscoll talks with IA Watch

OCIE Director Peter Driscoll (1:44)

Published February 22, 2018
OCIE Director Peter Driscoll on how CCOs can use the agency's exam priorities.

More tips for SEC Exam Success

More Tips for SEC Exam Success (3:10)

Published February 27, 2017
Michelle Jacko passes on some exam Do's and Don'ts, plus more tips for success.

Tips for Investment Advisers Facing an SEC Exam

Tips for Investment Advisers Facing an SEC Exam (3:51)

Published Oct. 29, 2016
A peer passes on suggestions for making your next exam a success.

Tips for teaching ethics

Tips for teaching ethics (4:21)

Published May 11, 2016
Use simple examples at first. Don't assume staff see things as you do.

A Peer Describes His Approach to the Annual Review (4:41)

Published November 15, 2015
Steve Flammey talks about his method of conducting an annual review under SEC Advisers Act rules.

IA Watch Reports on What Your Peers are Doing About Cybersecurity (3:22)

Published March 4, 2015
From IA Watch's Feb. 2015 IA Compliance The Full 360 View conference in Washington, D.C., we report on what your peers are doing to bolster their firm's cybersecurity.