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 Chair Mary Jo White takes a look at the Future of Investment Company Regulation 05/20/2016 Mary Jo White
SEC Enforcement Director talks about insider trading case that involves golfer Phil Mickelson 05/19/2016 Andrew Ceresney
SEC Chair Mary Jo White talks crowdfunding and Reg D before the SEC Advisory Committee on Small and Emerging Companies 05/18/2016 Mary Jo White
SEC Commissioner Kara Stein talks accredited investor thresholds at the SEC Advisory Committee on Small and Emerging Companies 05/18/2016 Kara M. Stein
SEC Commissioner Kara Stein looks at disclosure in the digital age 05/06/2016 Kara M. Stein
SEC Chair Mary Jo White cheerleads for the the compliance role in remarks before compliance outreach program 04/19/2016 Mary Jo White
SEC Chair Mary Jo White recognizes overlap in FSOC's work with the SEC's 04/18/2016 Mary Jo White
SEC Chair Mary Jo White talks cybersecurity and OCIE at Investor Advisory Committee meeting 04/14/2016 Mary Jo White
SEC Chair Mary Jo White touts new Enforcement tools in speech 04/08/2016 Mary Jo White
SEC Chair Mary Jo White talks about the role of independent mutual fund directors in assessing risks 03/29/2016 Mary Jo White
SEC Chair Mary Jo White accepts Penn Law Women’s Summit Award 03/23/2016 Mary Jo White
SEC Enforcement Director Andrew Ceresney talks pyramid schemes, scams and social media 03/02/2016 Andrew Ceresney
Commissioner Michael Piwowar talks private securitization 03/01/2016 Michael S. Piwowar
SEC Enforcement Director Andrew Ceresney comments on insider trading version in trial of Daryl Payton and Benjamin Durant 02/29/2016 Andrew Ceresney
SEC Chair Mary Jo White highlights Commission agenda in remarks before the SEC Advisory Committee on Small and Emerging Companies 02/25/2016 Mary Jo White
SEC Commissioners Kara Stein welcomes the advisory committee on small and emerging companies 02/25/2016 Kara M. Stein
SEC Chair Mary Jo White layouts her 2016 agenda for fair and strong markets 02/19/2016 Mary Jo White
SEC Commissioner Kara Stein talks about ETFs and more at SEC Speaks 02/19/2016 Kara M. Stein
SEC Investor Advocate Rick Fleming waxes poetically about investor participation 02/19/2016 Rick A. Fleming
SEC Chair Mary Jo White speaks in support of swaps rule 02/10/2016 Mary Jo White
SEC Commissioner Kara Stein raises lessons from Great Recession in support of swaps rule 02/10/2016 Kara M. Stein
SEC Commissioner Michael Piwowar praises 'consensus' rulemaking in passage of swaps rule 02/10/2016 Michael S. Piwowar
SEC Chair Mary Jo White opens Equity Market Structure Advisory Committee Meeting 02/02/2016 Mary Jo White
SEC Commissioner Michael Piwowar comments on work before the Equity Market Structure Advisory Committee Meeting 02/02/2016 Michael S. Piwowar
SEC Chair Mary Jo White peeks at 2016 agenda in Q&A at conference 01/26/2016 Mary Jo White
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