Commitment to Compliance
September 17 | Philadelphia

The SEC’s Three Fiduciary Duty-Related Proposals
October 15 | NYC | Information Coming Soon

IA Compliance: The Full 360° View West 
November 8 | San Francisco | Information Coming Soon

For attendance information, please contact Terry Green
1-800-455-5844 ext. 8004
TGreen@blr.com

For exhibitor opportunities, please contact Andrea Trout
301-675-4262
atrout@culeaders.com

UPCOMING WEBINARS

Conquering Current Compliance Challenges
August 15, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: July 11, 2018 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

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

 
Kokesh’s appeal of conviction turns $34 million in disgorgement into $5 million
03/08/2018
An appeals court has followed the instruction of the U.S. Supreme Court and severely reduced an adviser’s fine for ripping off clients so as to fit wi...


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