IA Compliance: The Full 360° View East 
March 7-8, 2019 | Washington, D.C.

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Dec. 12, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: November 14, 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 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
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 Director of the Division of Investment Management Dalia Blass talks fund boards and IM initiatives 10/16/2018 Dalia Blass
SEC Commissioner Hester Peirce touches on coming SEC swaps' rules 10 years after the financial crisis 10/15/2018 Hester M. Peirce
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
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