Conquering Current Compliance Challenges
April 10, 2019 | 2:00 - 2:30 PM EST

Real-Life Lessons Learned from Peers Who’ve Had to Implement their BCPs
April 16, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: March 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

 
Stephens: Adviser agrees to pay $5.4 million in share class case
03/11/2019
Many mutual funds also offer share classes that do not charge 12b-1 fees (e.g., “Institutional Class” or “Class I” shares (collectively, “Class I shar...


To view this information, access to the Investment Adviser Watch service is required.

Request a free trial to Investment Adviser Watch    Subscribe to IA Watch

Interested in subscribing to any combination of IA Watch, BD Watch, CPO/CTA Watch or PF Watch or have a question about the service? 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