Conquering Current Compliance Challenges
Mar. 13, 2019 | 2:00 - 2:30 PM EST

Strategies to Make this Year’s Form ADV Update a Breeze
Feb. 19, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: February 13, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
Ifitikar Ahmed, et al: Court Enters $64 Million Judgment Against Connecticut-Based Investment Professional
10/03/2018
The final judgment ordered Iftikar Ahmed to pay $41.9 million in disgorgement, $1.5 million in interest, and a $21 million civil penalty, and turn ove...


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