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 - CFTC
Title Date Speaker
CFTC Chairman J. Christopher Giancarlo touches on major topics keeping the Commission busy 03/14/2018 J. Christopher Giancarlo
CFTC Chairman Christopher Giancarlo talks cybersecurity, FinTech, enforcement and more before a House subcommittee 03/07/2018 J. Christopher Giancarlo
CFTC Chairman J. Christopher Giancarlo addresses many issues in appearance before a Senate committee 02/15/2018 J. Christopher Giancarlo
CFTC Chairman J. Christopher Giancarlo talks technology before the Technology Advisory Committee 02/14/2018 J. Christopher Giancarlo
CFTC Chairman J. Christopher Giancarlo at the Black History Month Celebration 02/06/2018 J. Christopher Giancarlo
CFTC Chairman J. Christopher Giancarlo testifies before the Senate Banking Committee 02/06/2018 J. Christopher Giancarlo
CFTC Chairman J. Christopher Giancarlo talks about a new way to value swaps 02/01/2018 J. Christopher Giancarlo
CFTC Chairman J. Christopher Giancarlo has second thoughts on self-certification of virtual currencies 01/31/2018 J. Christopher Giancarlo
CFTC Chairman J. Christopher Giancarlo addresses virtual currencies 01/19/2018 J. Christopher Giancarlo
CFTC Chairman Christopher Giancarlo Statement on Letter from Senate Ag Leadership about cross-border agreements 01/09/2018 J. Christopher Giancarlo
CFTC Chairman Giancarlo talks virtual Currencies and comments on the CFTC's statement on its oversight of the market 01/04/2018 J. Christopher Giancarlo
CFTC Chairman J. Christopher Giancarlo Commends SEC Chairman Clayton on ICO Statement 12/11/2017 J. Christopher Giancarlo
CFTC Chairman J. Christopher Giancarlo talks treasury futures at conference examining the U.S. Treasury Market 11/28/2017 J. Christopher Giancarlo
CFTC Chairman J. Christopher Giancarlo talks technology from Singapore 11/15/2017 J. Christopher Giancarlo
From Singapore, CFTC Chairman J. Christopher Giancarlo pushes licensing of SEFs 11/13/2017 J. Christopher Giancarlo
CFTC Chairman J. Christopher Giancarlo reprises his views on EU regulation affecting American companies 11/06/2017 J. Christopher Giancarlo
CFTC Chairman J. Christopher Giancarlo on comparability determination on EU Margin Requirements 10/13/2017 J. Christopher Giancarlo
CFTC Chairman J. Christopher Giancarlo shares his vision before House Agriculture Committee 10/11/2017 J. Christopher Giancarlo
CFTC Chairman J. Christopher Giancarlo on Treasury Report on Capital Markets 10/06/2017 J. Christopher Giancarlo
Farewell Address of CFTC Commissioner Sharon Bowen: She lists key topics the CFTC should deal with 09/25/2017 Sharon Y. Bowen
CFTC Chairman J. Christopher Giancarlo stays optimistic before the Eurofi Financial Forum 09/14/2017 J. Christopher Giancarlo
Chairman J. Christopher Giancarlo Remarks at the Global Forum for Derivatives Markets 38th Annual Burgenstock Conference 09/12/2017 J. Christopher Giancarlo
Concurring Statement of Commissioner Sharon Y. Bowen with Respect to the Commission's Action Filing Civil Complaint Against Monex Deposit Company 09/06/2017 Sharon Y. Bowen
CFTC Commissioner Sharon Bowen on the Confirmation of J. Christopher Giancarlo as Chairman 08/03/2017 Sharon Y. Bowen
CFTC Commissioner Sharon Bowen on the Confirmation Russ Behnam and Brian Quintenz as CFTC Commissioners 08/03/2017 Sharon Y. Bowen
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