Commitment to Compliance
September 18, 2017 | Boston, MA
Conference

Cybersecurity for Financial Services
October 6, 2017 | Washington, DC
Conference

IA Compliance: The Full 360° View West
November 2, 2017 | Los Angeles, CA
Conference
Conquering Current Compliance Challenges
September 27, 2017 | 2:00 PM - 2:30 PM EST
Webinar
 
Barclays Capital: $97 million settles case of poor due diligence, valuation woes, Form ADV issues and more
05/10/2017
Barclays Capital, then a dually-registered investment adviser and broker-dealer, improperly charged certain advisory clients of its wealth and investm...


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