Commitment to Compliance
September 17 | Philadelphia

The SEC’s Three Fiduciary Duty-Related Proposals
October 15 | NYC 

IA Compliance: The Full 360° View West 
November 8 | San Francisco | Information Coming Soon

UPCOMING WEBINARS

Conquering Current Compliance Challenges
August 15, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: July 11, 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

 
7/19/2018
That new OCIE risk alert represents only the latest effort by the SEC to drill into firms their obligation to seek best execution (IA Watch, July 11, ...
7/19/2018
Take two teenaged hackers in Ukraine. Add a former Morgan Stanley investment adviser who moonlights as a pastor and his friend, a former rep. Toss in ...
7/19/2018
The elderly client had lost her husband only three months before when her adviser, George Taylor of Temenos Advisory ($107M in AUM), persuaded her to ...
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