Conquering Current Compliance Challenges
Nov. 14, 2018 | 2:00 - 2:30 PM EST

Ethics: The Compliance Officer’s Role in Encouraging Your Firm
to Do the Right Thing

Oct. 23, 2018 | 2:00 - 3:00 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: October 10, 2018 
 
HANDBOOKS
  Includes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar

The Adviser's Guide to SEC Advertising and Marketing Rules
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 Commissioner Hester Peirce urges rules over staff guidance 10/04/2018 Hester M. Peirce
SEC Enforcement Co-Director Steven Peikin talks remedies and penalties at his division's disposal 10/03/2018 Steven Peikin
SEC Commissioner Hester Peirce shares more thoughts on Form CRS and the SEC's fiduciary duty proposals 10/02/2018 Hester M. Peirce
SEC Commissioner Kara Stein talks cybersecurity and the data revolution in financial markets 09/27/2018 Kara M. Stein
SEC Chairman Jay Clayton recognizes Hispanic Heritage Month 09/25/2018 Jay Clayton
SEC Commissioner Hester Peirce takes on arbitration, cryptocurrencies, SEC duties and more 09/24/2018 Hester M. Peirce
SEC Commissioner Hester Peirce gives her views on shareholders and the SEC's role 09/21/2018 Hester M. Peirce
Enforcment Co-Director Stephanie Avakian says the Enforcement Program had a good year 09/20/2018 Stephanie Avakian
SEC Commissioner Robert Jackson takes on the state of the markets and peeks at the road ahead 09/19/2018 Robert J. Jackson Jr.
SEC Commissioner Hester Peirce defends her support of cryptocurrency innovations 09/12/2018 Hester M. Peirce
SEC Chairman Jay Clayton looks at what the Commission has done regarding capital formation 08/29/2018 Jay Clayton
SEC Commissioner Hester Peirce discuesses Regulation Best Interest v. Fiduciary 07/24/2018 Hester M. Peirce
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 Robert Jackson talks stock buybacks and corporate cashouts, urges SEC action 06/11/2018 Robert J. Jackson Jr.
SEC Commissioner Kara Stein talks to a group of women who aspire to be financial professionals 06/07/2018 Kara M. Stein
SEC Enforcement Co-Director Steven Peikin talks cyber, cypto and his division targeting individuals 05/15/2018 Steven Peikin
SEC Commissioner Hester Peirce discusses OCIE, Enforcement and the SEC mission 05/11/2018 Hester M. Peirce
SEC Enforcement Co-Director Steven Peikin talks about the Wells process 05/09/2018 Steven Peikin
SEC Commissioner Hester Peirce doesn't like CEOs having to disclose their pay 05/04/2018 Hester M. Peirce
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 Hester Peirce digs into regulation and cryptocurrencies 05/02/2018 Hester M. Peirce
SEC Division of Investment Management Director Dalia Blass talks about board outreach and ETFs 03/19/2018 Dalia Blass
SEC Commissioner Hester Peirce says agency must take cost into consideration with rules 03/19/2018 Hester M. Peirce
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