Conquering Current Compliance Challenges
Aug. 14, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

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


 
7/18/2019
Claiming to have enough assets to qualify for SEC registration when an adviser doesn’t lays out a road to trouble.   A new enforcement settlement bars...
7/18/2019
Earlier this month, five federal regulatory agencies, including the SEC and CFTC, issued a joint final rule excluding smaller banks from the Volcker r...
6/07/2019
The very first line of the SEC settlement summary pulls no punches, offering words of caution to all private fund advisers. “Valuation of client asset...
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