Conquering Current Compliance Challenges
June 12, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

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

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
SPEECHES - SEC
Title Date Speaker
SEC Enforcement Director Andrew Ceresney speaks about the FCPA and international cooperation 11/30/2016 Andrew Ceresney
SEC Enforcement Director Andrew Ceresney on the Impact of SEC Enforcement on Public Finance 10/13/2016 Andrew Ceresney
SEC Enforcement chief Andrew Ceresney invites whistleblowers to contact the agency 09/14/2016 Andrew Ceresney
SEC Enforcement Director talks about insider trading case that involves golfer Phil Mickelson 05/19/2016 Andrew Ceresney
SEC Enforcement Director Andrew Ceresney talks pyramid schemes, scams and social media 03/02/2016 Andrew Ceresney
SEC Enforcement Director Andrew Ceresney comments on insider trading version in trial of Daryl Payton and Benjamin Durant 02/29/2016 Andrew Ceresney
SEC Enforcement Director Andrew Ceresney talks about the importance of self-reporting and cooperation 11/17/2015 Andrew Ceresney
SEC Enforcement Chief Andrew Ceresney talks CCO liability - again 11/04/2015 Andrew Ceresney
SEC Enforcement Director Andrew Ceresney looks back and forward at market structure issues, dark pools 11/02/2015 Andrew Ceresney
SEC Enforcement Director Andrew Ceresney basks in victory after a jury convicts two on insider trading charges 09/24/2015 Andrew Ceresney
SEC Enforcement Director Andrew Ceresney reflects on five years of SEC cooperation program 05/13/2015 Andrew Ceresney
SEC Enforcement Director Andrew Ceresney highlights his division's success in bringing case to courts 05/12/2015 Andrew Ceresney
Statement on Jury Verdict in Trial Of George Levin Who Raised $157 Million for Scott Rothstein’s Ponzi Scheme 04/01/2015 Andrew Ceresney
Statement on Jury Verdict in Willie Gault/Heart Tronics Case 03/18/2015 Andrew Ceresney
Remarks at CBI's Pharmaceutical Compliance Congress 03/03/2015 Andrew Ceresney
Remarks at SIFMA's 2015 Anti-Money Laundering & Financial Crimes Conference 02/25/2015 Andrew Ceresney
Statement on Jury's Verdict in Trial of BankAtlantic Bancorp, Inc. and Alan Levan 12/15/2014 Andrew Ceresney
Statement on Jury's Verdict in Trial of BankAtlantic Bancorp, Inc. and Alan Levan 12/15/2014 Andrew Ceresney
Statement on Court’s Final Judgment in Case Against Life Partners Holdings, Brian Pardo, and R. Scott Peden 12/02/2014 Andrew Ceresney
Ceresney's remarks to the American Bar Association's Business Law Section Fall Meeting 2014 11/21/2014 Andrew Ceresney
SEC Enforcement Director Andrew Ceresney talks about the Foreign Corrupt Practices Act 11/19/2014 Andrew Ceresney
Statement on Jury Verdict in Case Against Charles Kokesh 11/07/2014 Andrew Ceresney
Statement on Favorable Jury Verdict Against Investment Adviser 08/13/2014 Andrew Ceresney
Statement on Jury Verdict in Florida Federal Court Following Trial Against Orchestrator of Pump-and-Dump Scheme 08/01/2014 Andrew Ceresney
Statement on 2nd Circuit Decision 06/04/2014 Andrew Ceresney
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