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

Conquering Current Compliance Challenges
Recorded: Sept. 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
10/17/2019
We talked last week about how an aging population is going to challenge broker-dealers and especially advisers to protect their aging clients from bei...
10/03/2019
The SEC is pursuing a pair of Wisconsin executives and three of their companies, accusing them of bilking dozens of investors out of nearly $53 millio...
10/03/2019
For the SEC, the fraud at the core of a Chicago-area hedge fund adviser and its two top execs, including its CCO, “was simple.” The Commission Sept. 3...
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