2018 Vigilant Compliance LLC Annual Luncheon

Published on Mar 6th, 2018

Date: Friday, April 6, 2018 Time: 10:30 AM to 1:30 PM (EST) Location: The Warwick Hotel Rittenhouse Square, Philadelphia Vigilant Compliance is hosting its 2018 Annual Investment Management Luncheon at the Warwick Hotel in Philadelphia, PA. This Event will bring numerous financial services representatives (e.g., Investment Advisers, Mutual Fund Complexes, Service Providers, Board Members and...

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

Published on Feb 20th, 2015

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

Published on Sep 17th, 2014

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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Assessing Advisor Profitability: A Tricky Call for Independent Directors

Published on Apr 11th, 2014

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

Published on Mar 27th, 2014

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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