IA Compliance: The Full 360° View East
March 21-23 | Washington, D.C.
Conference
Conquering Current Compliance Challenges
Feb. 7, 2018 | 2:00 - 2:30 PM EST
Webinar

Last-Minute Guidance to Master the New Form ADV
Jan. 23, 2018 | 2:00 - 3:00 PM EST
Webinar
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
1/18/2018
One sign many are taking from the new SEC FAQs is that the agency will reject industry pressure and implement its liquidity risk management rule on ti...
1/18/2018
Here are the main requirements of Investment Company Act rule 22e–4 (liquidity risk management programs)(see related story): Develop relevant compli...
1/18/2018
Patience, for one thing.   “The government just moves at a different pace,” states Norm Champ, a partner with Kirkland & Ellis in New York and former ...
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