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 Chair Mary Jo White call for a time of changes in regulating the U.S. Treasury Market 10/24/2016 Mary Jo White
SEC Investor Advocate Rick Fleming urges a move toward smart data 10/24/2016 Rick A. Fleming
SEC Commissioner Michael Piwowar ticks off five myths about economic analyses 10/21/2016 Michael S. Piwowar
SEC DERA Deputy Scott Bauguess says humans still needed despite use of big data 10/21/2016 Scott W. Bauguess
SEC Chief of Staff Andrew Donohue looks at the compliance industry 10/19/2016 Andrew J. Donohue
SEC Enforcement Director Andrew Ceresney on the Impact of SEC Enforcement on Public Finance 10/13/2016 Andrew Ceresney
SEC Chair Mary Jo White introduces mutual fund rules 10/13/2016 Mary Jo White
SEC Commissioner Kara Stein supports Open-End Fund Liquidity Risk Management Programs and Swing Pricing rule 10/13/2016 Kara M. Stein
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
© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US