Conquering Current Compliance Challenges
Aug. 14, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 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 Luis Aguilar addresses ways to enhance the Commission’s Waiver Process 08/27/2015 Luis A. Aguilar
SEC Commissioners Aguilar, Gallagher, Stein and Piwowar jointly issue call for clearer municipal bond rules 08/13/2015 Daniel M. Gallagher
SEC Chair Mary Jo White announces enforcement charges involving a massive hacking trading scheme 08/11/2015 Mary Jo White
SEC Commissioner Luis Aguilar asks for clarity in commission enforcement orders to help CCOs and others 08/10/2015 Luis A. Aguilar
SEC Commissioner Michael Piwowar assaults rule on pay ratio disclosure 08/07/2015 Michael S. Piwowar
SEC Chair Mary Jo White opens meeting in which Commission takes up security-based swap and pay ratio disclosure rules 08/05/2015 Mary Jo White
SEC Commissioner Luis Aguilar supports SEC's Pay Ratio Disclosure 08/05/2015 Luis A. Aguilar
SEC Commissioner Daniel Gallagher opposes Pay Ratio Disclosure 08/05/2015 Daniel M. Gallagher
SEC Commissioner Michael Piwowar rejects Pay Ratio Disclosure 08/05/2015 Michael S. Piwowar
SEC Commissioner Kara Stein explains support for Pay Ratio Disclosure 08/05/2015 Kara M. Stein
SEC Commissioner Luis Aguilar speaks in support of security-based swaps registration rule 08/05/2015 Luis A. Aguilar
SEC Commissioner Daniel Gallagher addresses security-based swaps registration requirements 08/05/2015 Daniel M. Gallagher
SEC Commissioner Michael Piwowar provides his view of security-based swaps registration requirements 08/05/2015 Michael S. Piwowar
SEC Commissioner Kara Stein supports security-based swaps registration requirements 08/05/2015 Kara M. Stein
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 Chair Mary Jo White addresses the role of woman in the industry at 2015 National Association of Women Lawyers Annual Meeting 07/16/2015 Mary Jo White
SEC Chair Mary Jo White marks the five year anniversary of Dodd-Frank 07/16/2015 Mary Jo White
SEC Commissioner Luis Aguilar pushes the benefits of shortening the securities settlement cycle 07/16/2015 Luis A. Aguilar
SEC Commissioner Luis Aguilar pushes the need to revisit the regulatory framework of the U.S. treasury market 07/14/2015 Luis A. Aguilar
SEC Chair Mary Jo White makes a statement about the July 8th technical failure on the NYSE 07/08/2015 Mary Jo White
SEC Chair Mary Jo White addresses standards for clawing back erroneously awarded executive compensation 07/01/2015 Mary Jo White
SEC Commissioner Luis Aguilar speaks about making executive compensation more accountable 07/01/2015 Luis A. Aguilar
SEC Commissioner Daniel Gallagher cites three devils in dissenting against executive comp proposal 07/01/2015 Daniel M. Gallagher
SEC Commissioner Michael Piwowar quotes Yogi Berra in rejecting executive comp proposal 07/01/2015 Michael S. Piwowar
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