November 20, 2017
- This Week's Issue
- SEC Brought Fewer Enforcement Actions in 2017, But . . .
- Clayton Rejects Request to Extend CAT Deadline
- SEC Settles Cherry-Picking Allegations with Yet Another Adviser
- Note to Readers
Sutherland law firm partner Brian Rubin shares the most urgent cybersecurity steps for investment advisers.
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.
Stern Tannenbaum law firm partner Aegis Frumento on how to get the most from reading an SEC administrative order or court complaint.
Get solutions for the top marketing challenges that advisers face from ACA Compliance Group managing director Kimberly Daly.
Learn which cyber threats and remedies are real and which are myths from ACA Aponix senior principal consultant Pascal Busnel.
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.
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.