IA Compliance: The Full 360° View Midwest
June 25 | Chicago, IL

Cybersecurity for Financial Services
July 23 | New York City
Conquering Current Compliance Challenges
May 9, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: April 4, 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 

 
4/19/2018
While the SEC’s proposed Regulation Best Interest runs hundreds of pages, you can score a quicker sense of it from the agency’s two-page summary of it...
4/19/2018
FINRA is advising broker-dealers to exercise caution in recommending and entering unpriced customer orders at and around the opening on the first day ...
4/19/2018
Remember that carrot FINRA dangled for self-reporting mutual fund sales over-charges? Some of your peers apparently didn’t. They got the stick.   FINR...
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