Industry Events

SEC 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 […]

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FINRA 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 […]

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Salvatore 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 […]

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Assessing 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; […]

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Nuts & 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 […]

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Jennifer 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 […]

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IA 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: […]

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SEC – 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 […]

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2013 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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