07/25/2017 02:00 p.m. - 03:00 p.m. EDT
Investment Management and Broker-Dealer Compliance + Regulation
Kelley A. Howes
Some signs from the SEC suggest compliance officers now have less to worry about in terms of being named in an enforcement action than they have had for years. But others warn the threat of CCOs being named in enforcement actions hasn’t disappeared. Where do things stand, and what does it all mean for you?
Of Counsel Kelley Howes will participate in this IAWatch webinar which will examine key SEC cases targeting CCOs and take the current temperature regarding your risks. Topics will include:
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