PUBLICATIONS: 06/15/2017 [Washington D.C. Compliance Round Table] SEC EXAMINATIONS PRIORITIES 2017 11/01/2016 [Investment Adviser Association Newsletter] RISK FOCUSED: THIRD-PARTY REVIEWS AS PART OF AN EFFECTIVE RISK MANAGEMENT PROGRAM 08/13/2015 [Bank Insurance & Securities Association OneSource] RISK ASSESSMENT IN SECURITIES AND BANKING INDUSTRIES UNDER SEC RULE 17-H WEBINARS: 09/11/2017 [Washington D.C. Compliance Round Table] FORM ADV AND RECORDKEEPING RULE AMENDMENTS 01/12/2017 [NSCP] SEC RULE 17-H RISK ASSESSMENT AND RECORDKEEPING REQUIREMENT 08/21/2014 [NCS Regulatory Compliance] SEC RULE 17-H: EVERYTHING YOU NEED TO KNOW ABOUT THE SEC’s BEST KEPT SECRET CONFERENCES: 07/27/2017 [SEC] SEC/FINRA NATIONAL COMPLIANCE OUTREACH PROGRAM FOR BROKER-DEALERS 05/16/2017 [FINRA] FINRA ANNUAL CONFERENCE [‘Compliance is an Asset’ Video] SEC RULE 17-H DISCUSSION AT FINRA’S ANNUAL CONFERENCE [Washington, D.C.] 04/06/2017 [NYSSCPA Stock Brokerage Committee] SEC RULE 17-H RISK ASSESSMENT AND RECORDKEEPING REQUIREMENT 02/08/2017 [Crowell & Moring] SEC RISK ASSESSMENT AND RECORDKEEPING REQUIREMENTS 05/17/2016 [NSCP Spring Conference in NYC] ETHICS – FLYING HIGH ON THE TRAPEZE
