Commitment to Compliance
September 17 | Philadelphia
Conquering Current Compliance Challenges
Sept. 26, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: August 15, 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

 
Jinesh Brahmbhatt: $150,000 fine and industry bar for former IA who failed to disclose payments to his athlete clients
08/09/2018
During the four-year period in which Brahmbhatt advised Jade’s clients to invest in the STI Notes, he omitted to disclose that he and Jade were receiv...


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