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IA Compliance: The Full 360° View East
March 21-23 | Washington, D.C.
Conquering Current Compliance Challenges
Feb. 7, 2018 | 2:00 - 2:30 PM EST
Last-Minute Guidance to Master the New Form ADV
Jan. 23, 2018 | 2:00 - 3:00 PM EST
The SEC Examinations Priorities Handbook
28 best practices, 20 Document Request Letters and 6 OCIE Risk Alerts
Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance
IAA meets first with SEC officials over ‘standards of conduct’ issue
As public comments slowed in response to SEC Chairman Jay Clayton’s recent invitation concerning “standards of conduct” for advisers and B-Ds, the Inv...
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