Key 2016 SEC and FINRA cases and DOL's new fiduciary rule
Understanding the demands of your regulator is critical for compliance professionals. The SEC as one of Americas leading regulatory enforcement authorities sets the bar for compliance departments. Each year new regulations and enforcements come into play, creating new challenges for compliance professions. In our May Webinar our industry professionals, Charles Lerner, Principal of Fiduciary Compliance Associates and John Roth, CCO at Venor Capital Management discussed some of this years SEC Hot Button issues.
- Cybersecurity in Compliance (10:22)
- Conflicts of interest Compliance (10:06)
- Regulation D in Compliance (09:03)
- Expense Allocation in Compliance (07:05)
You can access the slides from this webinar here