Events

2nd Annual Conference at the Four Seasons Hosted by Vigilant Compliance

Vigilant Compliance, LLC Hosted its 2nd Annual Conference at the Four Seasons in Philadelphia, PA on April 22, 2015.

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2015 Vigilant Compliance Investment Adviser Conference at the Four Seasons in Philadelphia

Vigilant Compliance is hosting its 2nd Annual Investment Adviser conference-Luncheon at the Four Seasons hotel in Philadelphia, PA. Our industry-leading speakers and further details will follow once the date approaches. Location: Four Seasons Hotel 1 Logan Square, Philadelphia, PA 19103 Date and Time: Wednesday, April 22, 2015 at 11:00 a.m. – 1:00 p.m. If you […]

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2014 NSCP Conference

Come visit us at the National Society of Compliance Professionals conference being hosted at the Gaylord National Resort & Convention Center – National Harbor, MD (in the DC metro area). Event Overview: “NSCP is the most comprehensive educational offering within the securities compliance industry covering 80+ topics encompassing IA, BD, Hedge Fund/Private Fund and Investment […]

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Conference at the Four Seasons Hosted by Vigilant Compliance

 

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Assessing Advisor Profitability: A Tricky Call for Independent Directors

The Mutual Fund Directors Forum will be hosting a webinar; “Assessing advisor profitability on a fund-by-fund basis before marketing expenses remains a key “Gartenberg” pillar of the advisory contract renewal process, but the statistics are often criticized as confusing at best and misleading at worse. This webinar discusses the annual process of reviewing fund expense […]

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2014 Regional Compliance Outreach Program for Broker-Dealers

The Regional Compliance Outreach Program for Broker-Dealers is designed for risk, audit, legal and compliance professionals employed by broker-dealers. Its focus is to promote strong compliance practices for the protection of investors. The SEC’s Office of Compliance Inspections and Examinations, in coordination with the SEC’s Division of Trading and Markets, will partner with FINRA to […]

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Nuts & Bolts of Being a Director

Mutual Fund Directors Forum and Alison Fuller, a Partner at Stradley Ronon Stevens & Young LLP will be presenting “Nuts & Bolts of Being a Director” tailored for newer directors. Location: The John Adams Room at the Loews Madison Hotel 1177 15th Street, Northwest  (map) Washington, DC 20005 Date & Time:  April 1, 2014 from […]

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New Disclosures in Mutual Fund Financial Statements

The Mutual Fund Directors Forum will be hosting a webinar that Robert Mulhall, Partner at Ernst & Young LLP’s Wealth Asset Management division, along with his colleagues will focus on how independent directors should review a mutual fund financial statement, highlighting the new disclosures that are being added to the statements. The event will be […]

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Webinar – Board Oversight of Closed End Funds

The Mutual Fund Directors Forum will be hosting a Webinar focusing on Board oversight of closed end funds. The Event will be broadcast live from 2:00 to 3:00 PM (EST) on December 5, 2013. Speakers will include Thomas A. DeCapo and Michael K. Hoffman, Partners at Skadden, Arps, Slate, Meagher, and Flom LLP. To register […]

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2nd Annual Securities Litigation & Enforcement Institute

When: November 12, 2013, 2:10 p.m. – 3:30 p.m. Who: Andrew Ceresney, Co-Director Division of Enforcement (Panelist) What: 2nd Annual Securities Litigation & Enforcement Institute Where: City Bar Building, New York Contact: Elizabeth Burke, eburke@nycbar.org or 212-382-4789 http://www.sec.gov/about/upcoming-events.htm

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