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
Dan Berkovitz once served as the CFTC’s general counsel. If President Trump has his way, Berkovitz will now get to serve as a commissioner.   The pres...
3/29/2018
With the quarter’s end upon us, the NFA is reminding CPOs and CTAs to answer new questions on its annual questionnaire regarding virtual currencies.  ...
3/08/2018
Cyber bad guys target the CFTC’s website hundreds of times a day, sometimes they even take it down (CPO/CTA Watch, March 19, 2015).   “The attacks are...
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