Conquering Current Compliance Challenges
Nov. 13, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: Sept. 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
10/17/2019
Marian Young didn’t believe she needed an attorney to ensure she complied with Advisers Act rules when launching her internet advisory firm. She read ...
10/17/2019
It’s hard to avoid headaches when an advisory firm undergoes major changes, such as a merger, acquisition or change in registration status. Learning t...
10/17/2019
The latest legal filings in the five-year-old The Robare Group ($175M in AUM) SEC enforcement action prove the two sides aren’t budging the slightest....
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