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

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

Title Date Speaker
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
SEC Commissioner Robert Jackson implores firms to tackle on cybersecurity risks 03/15/2018 Robert J. Jackson Jr.
SEC Commissioner Piwowar takes on the topic of FinTech 03/07/2018 Michael S. Piwowar
SEC Commissioner Robert Jackson talks about policing corporate wrongdoing 02/26/2018 Robert J. Jackson Jr.
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 Robert Jackson wants to deal with gap between Main and Wall Street due to dual-class stock 02/15/2018 Robert J. Jackson Jr.
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 Division of Investment Management Director Dalia Blass eyes her agency's agenda 12/07/2017 Dalia Blass
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 Enforcement Division Co-Director Steven Peikin talks Kokesh and the Foreign Corrupt Practices Act 11/09/2017 Steven Peikin
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