Commitment to Compliance
September 17 | Philadelphia
Conquering Current Compliance Challenges
Sept. 26, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: August 15, 2018 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

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 Chairman Jay Clayton notes the establishment of the task force on Market Integrity and Consumer Fraud 07/11/2018 Jay Clayton
SEC Chairman Jay Clayton shares his observations on culture at financial institutions and the SEC 06/18/2018 Jay Clayton
SEC Commissioner Kara Stein talks to a group of women who aspire to be financial professionals 06/07/2018 Kara M. Stein
SEC Economist Scott Bauguess busts five myths in the battle between humans and machines 05/03/2018 Scott W. Bauguess
SEC Chairman Jay Clayton hits the road to sell the Commission's three fiduciary duty-related proposals 05/02/2018 Jay Clayton
SEC Commissioner Piwowar takes on the topic of FinTech 03/07/2018 Michael S. Piwowar
SEC Investor Advocate Rick Fleming doesn't like mandatory arbitration 02/24/2018 Rick A. Fleming
SEC Chairman Jay Clayton reflects before SEC Speaks conference 02/23/2018 Jay Clayton
SEC Commissioner Kara Stein worries retail investors are being lured into complex investments 02/23/2018 Kara M. Stein
SEC Chairman Clayton recognizes Michael Gragg and Black History Month 02/22/2018 Jay Clayton
SEC Commissioner Kara Stein urges firms to bolster their cybersecurity efforts 02/13/2018 Kara M. Stein
SEC Chairman Jay Clayton gives insight into how Commission will deal with remaining Dodd-Frank commitments 01/22/2018 Jay Clayton
SEC-NYU Dialogue on Securities Market Regulation Concluding Remarks 01/19/2018 Kara M. Stein
SEC Chairman Jay Clayton talks shareholder engagement 01/19/2018 Jay Clayton
SEC Chairman Jay Clayton makes remarks at swearing In of Commissioners Hester Peirce and Robert Jackson, Jr. 01/16/2018 Jay Clayton
SEC Commissioner Kara Stein discusses ETFs, disclosure and conflicts 12/07/2017 Kara M. Stein
SEC Chair Jay Clayton praises cooperation among regulators at conference looking at the structure of the U.S. Treasury Market 11/28/2017 Jay Clayton
SEC Chairman Jay Clayton speaks about the importance of transparency at the Commission and in Our Markets 11/08/2017 Jay Clayton
OCIE Director Pete Driscoll commends CCOs and touts how his agency helps them improve IA compliance 09/14/2017 Peter Driscoll
SEC Commissioner Kara Stein on a joint path forward, including cybersecurity 09/13/2017 Kara M. Stein
SEC Commissioner Kara Stein look s at the state of ETFs 09/08/2017 Kara M. Stein
SEC Commissioner Michael Piwowar shares his views on ETFs 09/08/2017 Michael S. Piwowar
SEC Chairman Jay Clayton lays out 8 principles, discusses fiduciary duty rule 07/12/2017 Jay Clayton
SEC Commissioner Kara Stein urges greater transparency 07/11/2017 Kara M. Stein
SEC Acting Director of DERA Scott Bauguess shares an example of use of big data and investment advisers 06/21/2017 Scott W. Bauguess
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