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Event: 'Ascendant Compliance Conference' Print
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Date: Monday, March 05, 2012
Duration: All Day

(San Antonio, TX) - Recent Enforcement Actions Against Advisers and CCO’s & Real Processes for Vendor Selection and Management

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CCLS Blogs

Form 13F Filing Deadline Approaching

Section 13(f) of the Securities Exchange Act of 1934 requires institutional investment managers with investment discretion over $100 million or more of certain equity securities to file quarterly reports disclosing ...

Massachusetts Issues Guidance Regarding Use of Social Media by Investment Advisers

Recognizing the rapid growth of the use of social media in the securities industry, the SEC recently released a Risk Alert on the use of social media by investment advisers ...

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