Are You Prepared? Year End Compliance Check Webinar


Topic: “Are You Prepared? Year End Compliance Check Webinar”

Dates: November 1, 2018


As 2018 pushes forward into the 4th quarter, we have a few questions:

Are you prepared? And do you know where to start?

We’ll help you out…Starting now is optimal – with 2018 winding down, Chief Compliance Officers (“CCOs”) need to start thinking about the compliance projects that remain to be addressed within their own firm’s compliance programs. And now you’re asking yourself, where do I begin as you close 2018 and prep for 2019?

We understand how daunting this task can be, especially with the holidays around the corner.   How will you know what issue to tackle, when and if the solution will work?

This year alone, the Securities and Exchange Commission (“SEC”) has issued numerous enforcement actions, along with Risk Alerts that run the gamut of compliance areas that should be considered.  Core Compliance’s “Are You Prepared? Year End Compliance Check Webinar” will help you answer your questions.  This webinar will provide you with:

  • An effective process/guide to tackle to last quarter of the year
  • A detailed checklist
  • Helpful risk management tips geared to comprehensive compliance
  • Insight from our Core Compliance Team on how to effectively navigate into 2019

Join us on Thursday, November 1, 2018 with our “Are You Prepared? Year End Compliance Check Webinar” at 11 AM (PST) to jump start your year end preparations.


Leave a Reply

Your email address will not be published. Required fields are marked *