Annual 2019 Core Compliance Workshop

2018 l 08.15.18 l BANNER - Core Compliance Workshop-1


As the financial services industry continuously transforms to meet the demand of business growth and the latest technological advancements – so do the compliance issues and regulatory priorities. Companies often struggle to adapt and navigate between the new regulations and nuances of SEC priorities, all while remaining nimble to meet filing deadlines and complete annual reviews, in addition to enhancing their cybersecurity platforms.

At the Core Compliance & Legal Services, Inc.Workshop, compliance professionals are amply prepared to understand and discuss the latest issues in a workshop setting, including:

  • How to Identify & Mitigate Risks and Conflicts
  • Retirement and Senior Investors (Senior Investors, Senior Life and the Fiduciary Rule)
  • The Latest on Cybersecurity
  • How to Tackle Top Deficiencies Found in SEC Exams

Our workshop provides an environment to openly discuss the current compliance issues and pain points of today’s industry.

Join us on Monday, January 28, 2019 at the Sheraton Park Hotel at the Anaheim Resort to start a comprehensive journey into unlocking today’s biggest compliance challenges.


WHAT: Annual 2019 Core Compliance Workshop
WHEN: January 28, 2019
WHERE: Sheraton Park Hotel @ the Anaheim Resort 
1855 South Harbor Blvd., Anaheim, CA 92802)

COST: $650 (Early Registration before December 31, 2018)
$750 (after December 31, 2018)


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