Conquering Current Compliance Challenges
June 12, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: May 15, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

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 Kara Stein speaks in favor of the adoption of Investment Company Reporting Modernization 10/13/2016 Kara M. Stein
SEC Commissioner Michael Piwowar gives mixed reviews of mutual funds 10/13/2016 Michael S. Piwowar
SEC Chair Mary Jo White predicts the Commission will soon finalize new IA and IC rules 09/21/2016 Mary Jo White
SEC Commissioner Michael Piwowar encourages conduct a comprehensive equity market structure review program 09/15/2016 Michael S. Piwowar
SEC Enforcement chief Andrew Ceresney invites whistleblowers to contact the agency 09/14/2016 Andrew Ceresney
SEC Investor Advocate Rick Fleming eyes the municipal securities market 08/25/2016 Rick A. Fleming
SEC Commissioner Piwowar objects that his colleagues ordered a bar that Enforcement didn't even ask for 08/11/2016 Michael S. Piwowar
SEC Chair Mary Jo White talks issues before the Equity Market Structure Advisory Committee Meeting 08/02/2016 Mary Jo White
SEC Commissioner Michael Piwowar shares his views with the Equity Market Structure Advisory Committee 08/02/2016 Michael S. Piwowar
SEC Commissioner Michael Piwowar travels to London to talk bank transparency 07/20/2016 Michael S. Piwowar
SEC Chair Mary Jo White gives the SEC Advisory Committee on Small and Emerging Companies an update on crowdfunding 07/19/2016 Mary Jo White
SEC Chair Mary Jo White brings up mutual fund reporting proposal before the Investor Advisory Committee 07/14/2016 Mary Jo White
SEC Commissioner Michael Piwowar encourages the Investor Advisory Committee to address mutual fund reporting modernization 07/14/2016 Michael S. Piwowar
SEC Chair Mary Jo White addresses three new rule proposals from the Commission 07/13/2016 Mary Jo White
SEC Commissioner Michael Piwowar takes on security-based swaps proposal 07/13/2016 Michael S. Piwowar
SEC Commissioner Michael Piwowar praises disclosure update and simplification 07/13/2016 Michael S. Piwowar
SEC Commissioner Kara Stein welcomes swaps proposal even while calling for more swaps rules 07/13/2016 Kara M. Stein
SEC Commission Kara Stein notes the Commission's simplification proposal runs more than 500 pages long 07/13/2016 Kara M. Stein
SEC Chair Mary Jo White notes the passing of former SEC Commissioner Irving Pollack 07/01/2016 Mary Jo White
SEC Chief of Staff Andrew Donohue speaks in London but fails to mention Brexit 06/28/2016 Andrew J. Donohue
SEC Chair Mary Jo White seeks to assure U.S. Equity Markets after Brexit vote 06/24/2016 Mary Jo White
SEC Chair Mary Jo White covers hot topics at Investor Advisory Committee Meeting 06/07/2016 Mary Jo White
SEC Commissioner Michael Piwowar gives Investor Advisory Committee an idea of his priorities 06/07/2016 Michael S. Piwowar
SEC Chair Mary Jo White looks at the Commission and market structure 06/02/2016 Mary Jo White
SEC Chief of Staff Andrew Donohue talks about New Directions in Corporate Compliance 05/20/2016 Andrew J. Donohue
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