Events

Join us to hear from experienced industry professionals as they discuss e-comm monitoring and archiving oversight! The panel will tackle topics covering: The challenges of monitoring electronic communications Obstacles with managing personal communications vs. business Prevailing forms of communications and apps being used Multitude of messaging options and new vendor solutions SEC Response: post sweeps [...]

Join us to hear from experienced industry professionals as they discuss SEC trends and focus areas. The panel will tackle topics covering: What’s new in document requests Current topics and exam priorities Reading the tealeaves from deficiencies Guidance from enforcement actions For registered investment advisers, investment companies, broker-dealers, and transfer agents.