Conquering Current Compliance Challenges
Aug. 14, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

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


 
SPEECHES - SEC
Title Date Speaker
Regulation Best Interest and the Investment Adviser Fiduciary Duty: Two Strong Standards that Protect and Provide Choice for Main Street Investors 07/08/2019 Jay Clayton
SEC Commmissioner Hester Peirce uses the old 'Baby on Board' signs to push for more women on boards 06/28/2019 Hester M. Peirce
SEC Commissioner Hester Peirce raises Scarlet Letters and tackles proxy advisors 06/18/2019 Hester M. Peirce
SEC Chairman Jay Clayton thinks Congress so prevent another Kokesh 06/04/2019 Jay Clayton
SEC Commissioner Hester Peirce urges her fellow commissioners to approve crypto ETFs 05/21/2019 Hester M. Peirce
SEC Commissioner Hester Peirce talks international regulation and the gap between academics and reality 05/17/2019 Hester M. Peirce
SEC Commissioner Hester Peirce brings up alligators in Nirvana as a metaphor for the limits of government oversight 05/16/2019 Hester M. Peirce
SEC Commissioner Hester Peirce talks digital assets 05/09/2019 Hester M. Peirce
SEC Commissioner Hester Peirce argues the Commission spreads its tentacles too widely 05/08/2019 Hester M. Peirce
SEC Commissioner Roisman looks at proxy voting 03/18/2019 Elad L. Roisman
SEC DIrector of Investment Management Dalia Blass looks at the regulatory road ahead 03/18/2019 Dalia Blass
SEC Chairman Jay Clayton is joined by Trading & Markets Director Brett Redfearn to look back and ahead on market structure 03/08/2019 Jay Clayton
SEC Commissioner Hester Peirce airs hers grievances ala Seinfeld's Festivus 03/05/2019 Hester M. Peirce
SEC Commissioner Robert Jackson asks What’s Really in Your Index Fund? 02/18/2019 Robert J. Jackson Jr.
SEC Commissioner Hester Peirce questions the agency's approach to cryptocurrencies 02/08/2019 Hester M. Peirce
SEC Chairman Jay Clayton talks disclosure, ESG and deadbeat reps 12/13/2018 Jay Clayton
SEC Chairman Jay Clayton reflects on 2018 while looking ahead to the agency's regulatory calendar in 2019 12/06/2018 Jay Clayton
SEC Enforcement Co-Director Steven Peikin lays out challenges with international cooperation 12/03/2018 Steven Peikin
SEC Commissioner Hester Peirce raises the specter of the ghosts of regulation past, present and future 11/28/2018 Hester M. Peirce
IM Director Dalia Blass touches on fiduciary duty and look ahead 11/08/2018 Dalia Blass
SEC Commissioner Hester Peirce travels to Switzerland to share her thoughts on cryptocurrencies and technology 11/07/2018 Hester M. Peirce
SEC Commissioner Hester Peirce talks on the topic of public company financial disclosures 11/02/2018 Hester M. Peirce
SEC Commissioner Hester Peirce believes OCIE examiners should help firms correct issues 10/30/2018 Hester M. Peirce
SEC Commissioner Hester Peirce talks about efforts to change how Enforcement works 10/26/2018 Hester M. Peirce
SEC IM Director Dalia Blass talks ETFs, mutual fund disclosure and assures you can rely on staff guidance 10/25/2018 Dalia Blass
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