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- Compliance Committee
Past EventOn-Demand CLE
Feb 23, 2024 |
9 AM-4:45 PM |
On-Demand
Emerging Technologies Symposium
View On-DemandPast Event
Apr 18, 2024 |
11 AM-3:30 PM |
CLE
Double Danger: How Corporations’ Political Activities Create Risks and Opportunities When Election Laws and Corporate Governance Intersect
View DetailsIn the News
February 13, 2024
SEC Enforcement Targets Anti-Whistleblower Practices in Financial Firm’s Settlement Agreements with Retail Clients by Imposing Highest Penalty in Standalone Enforcement Action Under Exchange Act Rule 21 F-17(a) (National Law Review)
SEC Enforcement Targets Anti-Whistleblower Practices in Financial Firm’s Settlement Agreements with Retail Clients by Imposing Highest Penalty in Standalone Enforcement Action Under Exchange Act Rule 21 F-17(a) (National Law Review)
Jun 5, 2024 |
12-1 PM |
CLE
The New, Improved RIA Annual Compliance Review: Decoding the SEC’s Past Guidance and Recent Requirement for Written Reports
Register for WebinarPast EventOn-Demand CLE
Nov 28, 2023 |
9 AM-2:45 PM |
On-Demand
International White Collar Crime Symposium 2023
View On-DemandPast EventOn-Demand CLE
Oct 24, 2023 |
9 AM-6 PM |
On-Demand
Compliance Institute 2023
View On-DemandPast EventOn-Demand CLE
Oct 3, 2023 |
10 AM-12 PM |
On-Demand
Recognizing the Inherent Bias Within the Legal Profession and Identifying Your Relationship with It
View On-DemandPast EventOn-Demand CLE
Jul 17, 2023 |
9 AM-4:45 PM |
On-Demand