Webinar: 2018 SEC Exam Priorities & Recent Exam Highlights
Don’t miss the opportunity to meet with us in person to discuss the topics that matter most to you...
Tips for SEC Exam Preparedness
Read SEC Exam Tips in PDF Format Before the SEC comes in: Disclosure, Disclosure, Disclosure. Make s...
2018 – Are you ready for your next SEC exam?
The pool of registered investment advisers that will be subject to an SEC exam in 2018 is at the hig...
Chief Compliance Officer Roundtable: Breakfast Briefing – February 7, 2018
When: February 7, 2018 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New Yo...
Navigating the Changes to Form ADV
On August 25, 2016, the U.S. Securities and Exchange Commission adopted numerous substantive and tec...
Overlooked Benefits of E&O/D&O
While asset managers should always be aware of the protections provided by their E&O/ D&O co...
Upcoming Events – September & October 2017
Upcoming Events Don’t miss the opportunity to meet with us in person to discuss the topics that ma...
May 23, 2017 – Webcast: WannaCry Ransomware: Were You Really Protected or Just Lucky
When: Tuesday, May 23rd, 2017 | Schedule: 12pm – 1pm EST Who: Paul Caiazzo, CEO and Co-Founder...
June 14, 2017 – Compliance Breakfast Briefing
8:30-9:00am – Networking and Continental Breakfast 9:00-10:30am – Program Location: Will...
June 13, 2017 – Compliance Breakfast Briefing
8:30-9:00am – Networking and Continental Breakfast 9:00-10:30am – Program Location: Hayn...