IA Compliance: The Full 360° View East
March 21-23 | Washington, D.C.
Conference
Conquering Current Compliance Challenges
Feb. 7, 2018 | 2:00 - 2:30 PM EST
Webinar

Last-Minute Guidance to Master the New Form ADV
Jan. 23, 2018 | 2:00 - 3:00 PM EST
Webinar
The SEC Examinations Priorities Handbook
Includes: 28 best practices, 20 Document Request Letters and 6 OCIE Risk Alerts

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance
SEC Commissioner Kara Stein discusses ETFs, disclosure and conflicts
12/07/2017
Brokers and advisers should be required to mitigate these conflicts, and the standard of conduct by which they provide advice can help ensure that tha...


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