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 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
SEC Chair Mary Jo White recaps some of the Commission's recent actions 01/21/2016 Mary Jo White
SEC Comissioner Michael Piwowar urges greater transparency in the fixed income market 01/21/2016 Michael S. Piwowar
SEC Commissioner Luis Aguilar looks back on his tenure 12/21/2015 Luis A. Aguilar
SEC Commissioner Kara Stein comments on JP Morgan Chase settlement 12/18/2015 Kara M. Stein
SEC Commissioner Luis Aguilar addresses cybersecurity again 12/16/2015 Luis A. Aguilar
SEC Chair Mary Jo White opens meeting taking up derivatives proposal 12/11/2015 Mary Jo White
SEC Commissioner Kara Stein supports derivatives proposal 12/11/2015 Kara M. Stein
SEC Commissioner Michael Piwowar dissents against derivatives proposal 12/11/2015 Michael S. Piwowar
SEC Commissioner Luis Aguilar makes his case for reform of derivatives 12/11/2015 Luis A. Aguilar
SEC Commissioner Michael Piwowar applauds repeal of indemnification requirement in Fast Act law 12/08/2015 Michael S. Piwowar
Outgoing SEC Commissioner Luis Aguilar offers advice for his Commission successors 11/30/2015 Luis A. Aguilar
SEC Commissioners Gallagher & Piwoware abhor fund set up as a windfall for lawyers 11/18/2015 Daniel M. Gallagher
SEC Enforcement Director Andrew Ceresney talks about the importance of self-reporting and cooperation 11/17/2015 Andrew Ceresney
SEC Commissioner Kara Stein looks at technology's effect on the markets 11/09/2015 Kara M. Stein
SEC Enforcement Chief Andrew Ceresney talks CCO liability - again 11/04/2015 Andrew Ceresney
SEC IM Director David Grim talks annuities and fund proposals from his division 11/02/2015 David Grim
SEC Enforcement Director Andrew Ceresney looks back and forward at market structure issues, dark pools 11/02/2015 Andrew Ceresney
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