December 18, 2017
- This Week's Issue
- Cybersecurity Concerns Cause SEC to Delay Reporting Requirements
- SEC Fines Adviser/Broker for Failure to Supervise Chief Executive Officer
- F-Squared Saga Continues with More Advisory Firm Settlements
- Note to Readers
Proskauer law firm partner and former SEC Division of Investment Management deputy director Robert Plaze on why the costs of non-compliance go way beyond an SEC penalty.
Sutherland law firm partner Brian Rubin shares the most urgent cybersecurity steps for investment advisers.
Get solutions for the top marketing challenges that advisers face from ACA Compliance Group managing director Kimberly Daly.
Stern Tannenbaum law firm partner Aegis Frumento on how to get the most from reading an SEC administrative order or court complaint.
Learn which cyber threats and remedies are real and which are myths from ACA Aponix senior principal consultant Pascal Busnel.
Find out from Blue Edge Capital CCO Margaret Fretz what chief compliance officers may be liable for and best practices to make sure you are protected.
Find out the difference an ethics, rather than a compliance, perspective makes at an advisory firm from former Ethics and Compliance Officer Association COO Timothy Mazur.
Many investment advisers rank cybersecurity as their number one concern. Listen and view this webinar to find out just what reasonable precautions to put in place.