September 22, 2008
April 22, 2019
- This Week's Issue
- Commissioner Raises Concerns that Staff Guidance Amounts to ‘Secret Law’
- Regulation S-P: OCIE Puts Advisers and Broker-Dealers on Notice
- Individual Adviser Representatives Not Immune from SEC Prosecution
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.
Stern Tannenbaum law firm partner Aegis Frumento on how to get the most from reading an SEC administrative order or court complaint.
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.
Learn which cyber threats and remedies are real and which are myths from ACA Aponix senior principal consultant Pascal Busnel.
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.
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.