Compliance Roundup for April 5, 2024
April 2, 2024
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For our clients and compliance colleagues, this weekly update will give you a quick look at the latest regulatory developments. Enjoy! Spring and T+1 are
For our clients and compliance colleagues, this weekly update will give you a quick look at the latest regulatory developments. Enjoy! Spring and T+1 are
Navigating 2024 SEC Exam Priorities: Insights from Compliance Experts Webinar Are you ready for what the SEC has in store for 2024? Join
The SEC in 2024: What Investors Should Know Castle Hall is pleased to continue its series of Due Diligence University webinars with an event in
When: February 27, 2023 – March 2, 2023 Where: Orlando World Center Marriott – Orlando, FL SEC3 will be sponsoring Orion’s National Ascent 2023 Conference in Orlando,
Tomorrow, FTF is hosting a webinar: Mastering Trade-Related Communications Monitoring. Janaya Moscony will moderate the panel. The webinar will discuss the difficulty firms are facing in navigating
Date: Wednesday, February 17, 2021 Time: 2:00 PM Eastern Standard Time Please join the following speakers for an interactive discussion covering evolving trends in 2021 and regulatory
Online via WebEx October 27, 2020 10:00–11:30 a.m. ET Please join Blank Rome Partners and Investment Management Group Co-Chairs Thomas R. Westle and Stacy H.
Please join us for an upcoming webinar: “Virtual Chief Compliance Officer Roundtable: The Impact of COVID-19.” Wednesday, June 3, 2020 2:00-3:00 p.m. EDT Online via
When: February 25, 2020 Where: Blank Rome LLP 1271 Avenue of the Americas, 16th Floor New York, NY Our New York office has moved from
The Role of AI and Other Emerging Technologies in Investment Management When: June 5, 2019 Where: Blank Rome LLP 1271 Avenue of the Americas, 16th
