Conquering Current Compliance Challenges
Nov. 14, 2018 | 2:00 - 2:30 PM EST
Ethics: The Compliance Officer’s Role in Encouraging Your Firm
to Do the Right Thing
Oct. 23, 2018 | 2:00 - 3:00 PM EST
RECORDED WEBINARS
Conquering Current Compliance Challenges
Recorded: October 10, 2018
HANDBOOKS
Includes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar
The Adviser's Guide to SEC Advertising and Marketing Rules
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action LettersIncludes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar
The Adviser's Guide to SEC Advertising and Marketing Rules
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
Lack of compliance supervision blamed for firm smoldering in the ashes of bankruptcy
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10/11/2018
To Sam Edwards, it takes few words to explain how Dallas-based WFG Advisors perished after 15 years, landing in bankruptcy court where former clients ...
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Interested in subscribing? Call 1-800-455-5844, option 2, prompt 1.
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