Industry Events
SEC Hosting A Compliance Outreach Program Seminar On Nov. 15
SEC Compliance Outreach Program National Seminar The SEC recently announced the date for their Compliance Outreach Program National Seminar which will be on Tuesday, November 15th, at 8:30 […]
Read MoreSEC Whistleblower Payouts and What It Means for You
The SEC recently announced that they awarded the single largest individual reward ever – a $50 million whistleblower award to an individual who recorded misconduct by a […]
Read MoreFINRA Announces Fraudulent Email Phishing Campaign
Recently the Financial Industry Regulatory Authority (FINRA) announced that there are fraudulent email campaigns going around purportedly from them. These emails are posed to be from some […]
Read MoreSalvatore Faia to Speak at the ETF Regulations Readiness Summit
Update: This event has now passed. Please contact us for similar event recommendations. The ETF Regulations Readiness Summit will take place this year at the […]
Read MoreAssessing Advisor Profitability: A Tricky Call for Independent Directors
This event has now passed. If you’d like to register for similar events, visit mfdf.org. The Mutual Fund Directors Forum will be hosting a webinar; […]
Read MoreNuts & Bolts of Being a Director
Update: This event has now passed. Please contact us for upcoming event recommendations or visit upcoming events hosted by Mutual Fund Directors Forum. Mutual Fund […]
Read MoreJennifer L. Klass Partner from Morgan Lewis will present “How it All Works”
Update: The event has now passed. Please contact us for upcoming event recommendations. On Friday October 18, 2013, Jennifer L. Klass a Partner from Morgan […]
Read MoreIA Compliance – Fall Conference 2013
IA Watch’s 13th Annual Compliance Conference was located in Philadelphia, PA at The Westin Philadelphia. Below are the following things attendees learned during the conference: […]
Read MoreSEC – 2013 Mutual Funds and Investment Management Conference
The SEC hosted an event called “2013 Mutual Funds and Investment Management Conference” located in Palm Desert, California. It was on Monday March 18th from […]
Read More2013 MFDF Directors’ Institute
Updated: This event is now passed, if you would like to register for similar events, visit the MFDF website or contact us for suggestions for […]
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