Commitment to Compliance
September 17 | Philadelphia
Conquering Current Compliance Challenges
Sept. 26, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: August 15, 2018 
  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

 
8/13/2018
Halloween this year brings tricks and treats – and the start of the NFA’s rule on virtual currency disclosures. October 31 is the start date for its n...
8/09/2018
In the CFTC’s latest move to “foster cross-border cooperation and show deference to home country regulation that is deemed comparable to the Commissio...
7/26/2018
The NFA is proposing a requirement that CPOs, CTAs, FCMs and others disclose the risks inherent in virtual currencies. The SRO states in a new propose...
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