IA Compliance: The Full 360° View East
March 21-23 | Washington, D.C.
Conference
Conquering Current Compliance Challenges
Feb. 7, 2018 | 2:00 - 2:30 PM EST
Webinar

Last-Minute Guidance to Master the New Form ADV
Jan. 23, 2018 | 2:00 - 3:00 PM EST
Webinar
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
CPOs/CTAs must notify NFA of virtual currency transactions
01/09/2018
Regulators’ interest in bitcoin and other virtual currencies just took another big step.   The National Futures Association now requires CPOs and CTAs...


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