Commitment to Compliance
September 18, 2017 | Boston, MA
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Cybersecurity for Financial Services
October 6, 2017 | Washington, DC
Conference

IA Compliance: The Full 360° View West
November 2, 2017 | Los Angeles, CA
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Conquering Current Compliance Challenges
September 27, 2017 | 2:00 PM - 2:30 PM EST
Webinar
 
David Humphrey: Former SEC staff agrees to pay $107,000 for violating ethics rules by hiding personal trades
05/09/2017
The SEC's complaint alleges that David R. Humphrey, who worked at the SEC from 1998 to 2014, concealed his personal trading from the SEC's ethics offi...


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