When

Tuesday, September 22, 2020 from 1:00 PM to 2:00 PM EDT
Add to Calendar

Where

This is an online event.

Contact

Compliance Connections
Foreside
866-251-6920
complianceconnections@foreside.com

Risky Business: How to Use the SECís Risk Alerts to Identify and Fix Potential Compliance Problems

Please join Foreside's Les Abromovitz, Kelli Haugh, and Herbert Moore, Special Counsel with McCarter & English, as they discuss the latest SEC Risk Alerts, which address compliance deficiencies found during examinations. These alerts help to educate advisers and warn CCOs about problem areas that examiners will be focused on during future exams.

Registration is closed. This event has already been held.