Commitment to Compliance
September 17 | Philadelphia
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

 
8/09/2018
Now that the SEC has feedback on its three fiduciary duty-related proposals, the challenge for commissioners will be to take in all of the diverging v...
8/09/2018
Even before a new law granted immunity to advisers who undergo training to spot financial exploitation of the elderly (IA Watch, May 24, 2018), Nathan...
8/09/2018
Fire scorches California so frequently that nature’s rage could even spark a certain amount of complacency.   “We always laughed at the business conti...
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