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 

 
6/21/2018
Is FINRA truly serious about making its enforcement process more consistent and transparent? Susan Schroeder, the SRO’s EVP of enforcement, made a str...
6/14/2018
Trade reporting demands are rising on several fronts, and FINRA is finding new ways to use the data to keep tabs on firms and markets. Here’s the late...
6/14/2018
Flawed compliance and surveillance procedures can trip up even the largest of firms. Merrill Pierce, Pierce, Fenner & Smith makes the case. The dual r...
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