Conquering Current Compliance Challenges
Oct. 9, 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


 
9/12/2019
A California lawyer has agreed to at least one year of debarment to settle claims that he defrauded his private pool investors by concealing his inter...
9/05/2019
The SEC is pursuing fraud charges against two private hedge funds and their founders, who the Commission says bilked stricken former football players ...
8/29/2019
It appears that Brenda Smith had a broad reach into the pockets of her hedge fund investors.  The SEC has charged Smith, her hedge fund Broad Reach Ca...
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