IA Compliance: The Full 360° View East
March 7-8, 2019 | Washington, D.C.
IA Compliance: The Full 360° View Southwest
June 7, 2019 | Dallas, TX
UPCOMING WEBINARS
March 7-8, 2019 | Washington, D.C.
IA Compliance: The Full 360° View Southwest
June 7, 2019 | Dallas, TX
UPCOMING WEBINARS
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
HANDBOOKS
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action LettersThe SEC Examinations Priorities Handbook (2019 Edition)
Includes: Best Practices, Document Request Letters and OCIE Risk Alerts
The Adviser's Guide to SEC Advertising and Marketing Rules
Includes: Best Practices, Document Request Letters and OCIE Risk Alerts
The Adviser's Guide to SEC Advertising and Marketing Rules
Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance
How many of the seven key attributes of a CCO can you name?
To view this information, access to the Investment Adviser Watch service is required.
Interested in subscribing? Call 1-800-455-5844, option 2, prompt 1.
02/07/2019
Readers like lists – such as seven attributes of an effective CCO: 1. Regulatory knowledge; 2. Firm knowledge; 3. Industry experience; 4. Analytical i...
To view this information, access to the Investment Adviser Watch service is required.
Interested in subscribing? Call 1-800-455-5844, option 2, prompt 1.
Already a subscriber? Log in
© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US