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April 21, 2020
1:15 PM - 3:15 PM EDT
Third Party Due Diligence Practices (IA/BD) (Intermediate) (Webinar)
SEC Extends ADV and PF Filings…Eases Reqs for Advisers Impacted
SEC announced that it is further extending required filing and delivery deadlines for investment advisers whose ability to make timely filings has been affected by the coronavirus.
Compliance Considerations during the COVID-19 Crisis
Gain insight, understanding and the practical suggestions you need as a compliance officer for how to respond to the unique challenges all are facing in the current Coronavirus pandemic.