COMPLIANCE SCIENCE SUMMIT 2015
When: November 17, 2015 Where: Convene Midtown East | 730 Third Avenue | New York, NY 10017 Janaya M...
Adviser Settles SEC Cyber Enforcement Action
The Securities and Exchange Commission announced on September 22, 2015 that an investment adviser ha...
First Case Brought Under Distribution-in-Guise Initiative
On September 21, 2015, the Securities and Exchange Commission charged an asset manager with im...
New Cybersecurity Risk Alert Announcing Second Round of Cybersecurity Sweep Exams
On September 15, 2015, the Office of Compliance Inspections and Examinations (“OCIE”) is...
CHIEF COMPLIANCE OFFICER ROUNDTABLE: BREAKFAST BRIEFING
When: October 13, 2015 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New Yo...
Anti-Money Laundering Regulation—Third Time’s the Charm?
The Financial Crimes Enforcement Network (FinCEN) proposed on August 25, 2015, a rule that would req...
Cybercrime Meets Insider Trading
The SEC announced on Tuesday charges against 32 defendants involved in an unprecedented illicit sche...
The SEC’s Examination Priorities: What Every Private Fund Managers Need to Know in 2015 LIVE Webcast
In this CLE course, a panel of thought leaders and professionals organized by The Knowledge Group wi...
SEC exam prep: What to expect in second half 2015
The U.S. Securities and Exchange Commission’s (SEC’s) 2015 examination priorities (PDF) ...
SEC Charges Private Equity Manager in First Ever Case Over Allocation of Broken Deal Expenses
The Securities and Exchange Commission recently charged a private equity firm for misallocating more...