IA Compliance: The Full 360° View East 
March 7-8, 2019 | Washington, D.C.

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Feb. 13, 2019 | 2:00 - 2:30 PM EST

Strategies to Make this Year’s Form ADV Update a Breeze
Feb. 19, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: January 16, 2019 
  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

 
SPEECHES - SEC
Title Date Speaker
SEC Enforcement Co-Director Steven Peikin talks remedies and penalties at his division's disposal 10/03/2018 Steven Peikin
SEC Chairman Jay Clayton hits the road to sell the Commission's three fiduciary duty-related proposals 05/02/2018 Jay Clayton
SEC Commissioner Michael Piwowar looks ahead as the Commission welcomes new leadership 10/26/2017 Michael S. Piwowar
SEC Acting Chairman Michael Piwowar speaks Proposed Amendment to Rule 15c2-12 03/01/2017 Michael S. Piwowar
SEC Commissioner Kara Stein favors transparency in supporting proposed changes to Exchange Act Rule 15c2-12 03/01/2017 Kara M. Stein
SEC Acting Chairman Michael Piwowar moves toward reconsideration of Pay Ratio Rule Implementation 02/06/2017 Michael S. Piwowar
SEC Enforcement Director Andrew Ceresney speaks about the FCPA and international cooperation 11/30/2016 Andrew Ceresney
SEC Chair Mary Jo White on the Consolidated Audit Trail 11/15/2016 Mary Jo White
SEC Commissioner Michael Piwowar seeks protection of client data in a Consolidated Audit Trail 11/15/2016 Michael S. Piwowar
SEC Commission Kara Stein warns against repeating history with the Consolidated Audit Trail 11/15/2016 Kara M. Stein
SEC Chair Mary Jo White discusses financial reporting before the PCAOB Investor Advisory Group Meeting 10/27/2016 Mary Jo White
SEC Chair Mary Jo White introduces rules regarding universal proxy system and exemptions to facilitate intrastate and regional securities offerings 10/26/2016 Mary Jo White
SEC Commissioner Kara Stein supports Exemptions to Facilitate Intrastate and Regional Securities Offerings 10/26/2016 Kara M. Stein
SEC Commissioner Michael Piwowar rejects Universal Proxy System rule 10/26/2016 Michael S. Piwowar
SEC Commissioner Michael Piwowar explains why he now supports Updated Rules regarding Intrastate Offerings and Small Business Capital Formation 10/26/2016 Michael S. Piwowar
SEC Chair Mary Jo White welcomes the SEC Advisory Committee on Small and Emerging Companies 10/05/2016 Mary Jo White
SEC Chair Mary Jo White on covered clearing agencies and the settlement cycle 09/28/2016 Mary Jo White
SEC Commissioner Michael Piwowar on shortening the settlement cycle 09/28/2016 Michael S. Piwowar
SEC Commissioner Michael Piwowar on clearing agency standards 09/28/2016 Michael S. Piwowar
SEC Commissioner Kara Stein on standards for covered clearing agencies 09/28/2016 Kara M. Stein
SEC Commissioner Kara Stein supports the shortening of the settlement cycle 09/28/2016 Kara M. Stein
SEC Commissioner Michael Piwowar encourages conduct a comprehensive equity market structure review program 09/15/2016 Michael S. Piwowar
SEC Chair Mary Jo White notes market structure initiatives by the Commission 09/14/2016 Mary Jo White
SEC Enforcement chief Andrew Ceresney invites whistleblowers to contact the agency 09/14/2016 Andrew Ceresney
SEC Commissioner Michael Piwowar speaks about transparency in fixed income securities 09/07/2016 Michael S. Piwowar
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