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 Commissioners Gallagher & Piwoware abhor fund set up as a windfall for lawyers 11/18/2015 Daniel M. Gallagher
SEC Commissioners Gallagher and Piwowar explain dissent in IA advertising case 10/02/2015 Daniel M. Gallagher
Commissioners Daniel Gallagher and Michael Piwowar issue a statement about security-based swap rules 09/25/2015 Daniel M. Gallagher
SEC Commissioner Dan Gallagher shares remarks from his final Commission public meeting 09/22/2015 Daniel M. Gallagher
SEC Commissioner Daniel Gallagher endorses removing credit rating references from money market fund requirements 09/16/2015 Daniel M. Gallagher
SEC Commissioner Daniel Gallagher announces he's leaving post in October 2015 09/04/2015 Daniel M. Gallagher
SEC Commissioners Aguilar, Gallagher, Stein and Piwowar jointly issue call for clearer municipal bond rules 08/13/2015 Daniel M. Gallagher
SEC Commissioner Daniel Gallagher opposes Pay Ratio Disclosure 08/05/2015 Daniel M. Gallagher
SEC Commissioner Daniel Gallagher addresses security-based swaps registration requirements 08/05/2015 Daniel M. Gallagher
SEC Commissioner Daniel Gallagher takes a look at Dodd-Frank at five years old; again brings up CCO liability, third party exams of IAs 08/04/2015 Daniel M. Gallagher
Commissioners Gallagher and Piwowar praise court decision restricting the SEC's ability to use retroactive collateral bars 07/22/2015 Daniel M. Gallagher
SEC Commissioner Daniel Gallagher cites three devils in dissenting against executive comp proposal 07/01/2015 Daniel M. Gallagher
SEC Commissioner Daniel Gallagher speaks about shareholder activism 06/23/2015 Daniel M. Gallagher
Commissioner Gallagher again backs IA CCOs in public statement 06/18/2015 Daniel M. Gallagher
Commissioner Daniel Gallagher refers to chart showing rules adopted since Dodd-Frank 06/03/2015 Daniel M. Gallagher
SEC Commissioner Daniel Gallagher weighs in on proposed IA and IC data rules 05/20/2015 Daniel M. Gallagher
SEC Commissioner Gallagher welcomes the Inaugural SEC Equity Market Structure Advisory Committee Meeting 05/13/2015 Daniel M. Gallagher
SEC Commissioner Daniel Gallagher supports Cross-Border Security-Based Swap Rules but hopes for substituted compliance 04/29/2015 Daniel M. Gallagher
SEC Commissioner Daniel Gallagher explains why he opposes proposed rule on pay versus performance 04/29/2015 Daniel M. Gallagher
SEC Commissioner Daniel Gallagher, speaking in Germany, talks about working with international regulators 04/15/2015 Daniel M. Gallagher
Bank Regulators at the Gates: The Misguided Quest for Prudential Regulation of Asset Managers: Remarks at the 2015 Virginia Law and Business Review Symposium 04/10/2015 Daniel M. Gallagher
Grading the Commission’s Record on Capital Formation: A+, D, or Incomplete? 03/27/2015 Daniel M. Gallagher
Statement at Open Meeting on Rule 15b9-1 03/25/2015 Daniel M. Gallagher
Statement at Open Meeting on Reg A+ 03/25/2015 Daniel M. Gallagher
A Watched Pot Never Boils: the Need for SEC Supervision of Fixed Income Liquidity, Market Structure, and Pension Accounting 03/10/2015 Daniel M. Gallagher
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