Conquering Current Compliance Challenges
Oct. 9, 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


 
SPEECHES - SEC
Title Date Speaker
SEC Commissioner Kara Stein pushes for improving information for investors in the Digital Age 10/23/2018 Kara M. Stein
SEC Commissioner Kara Stein urges action before the 'retirement tsunami" arrives, talks about fiduciary standards 10/16/2018 Kara M. Stein
SEC Commissioner Kara Stein talks cybersecurity and the data revolution in financial markets 09/27/2018 Kara M. Stein
SEC Commissioner Kara Stein talks to a group of women who aspire to be financial professionals 06/07/2018 Kara M. Stein
SEC Commissioner Kara Stein worries retail investors are being lured into complex investments 02/23/2018 Kara M. Stein
SEC Commissioner Kara Stein urges firms to bolster their cybersecurity efforts 02/13/2018 Kara M. Stein
SEC-NYU Dialogue on Securities Market Regulation Concluding Remarks 01/19/2018 Kara M. Stein
SEC Commissioner Kara Stein discusses ETFs, disclosure and conflicts 12/07/2017 Kara M. Stein
SEC Commissioner Kara Stein on a joint path forward, including cybersecurity 09/13/2017 Kara M. Stein
SEC Commissioner Kara Stein looks at the state of ETFs 09/08/2017 Kara M. Stein
SEC Commissioner Kara Stein urges greater transparency 07/11/2017 Kara M. Stein
SEC Commissioner Kara Stein praises cooperation between the SEC and NASAA 05/09/2017 Kara M. Stein
SEC Commissioner Kara Stein welcomes efforts to use data to improve the agency's mission 03/10/2017 Kara M. Stein
SEC Commissioner Kara stein ponders corporate goverance 03/09/2017 Kara M. Stein
SEC Commissioner Kara Stein speaks for updating Guide 3 disclosures 03/01/2017 Kara M. Stein
SEC Commissioner Kara Stein supports exhibit hyperlinks and HTML format rule 03/01/2017 Kara M. Stein
SEC Commissioner Kara Stein supports inline XBRL filing of Tagged Data 03/01/2017 Kara M. Stein
SEC Commissioner Kara Stein addresses crowdfunding 02/28/2017 Kara M. Stein
SEC Commissioner Kara Stein asks whats at stake for markets, technology and investors 02/24/2017 Kara M. Stein
SEC Commissioner Kara Stein speaks before the SEC Advisory Committee on Small and Emerging Companies 02/15/2017 Kara M. Stein
SEC Commissioner Kara Stein talks about Capital Formation 11/17/2016 Kara M. Stein
SEC Commissioner Kara Stein shares her vision for big data 10/28/2016 Kara M. Stein
SEC Commissioner Kara Stein on the use of universal proxies 10/26/2016 Kara M. Stein
SEC Commissioner Kara Stein supports Open-End Fund Liquidity Risk Management Programs and Swing Pricing rule 10/13/2016 Kara M. Stein
SEC Commissioner Kara Stein speaks in favor of the adoption of Investment Company Reporting Modernization 10/13/2016 Kara M. Stein
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