Read Legal Risk Management Tip
Lori Richards Keynote Address What to do as Compliance Professionals
October 2008
SEC Announces New SAR Alert Message Line and AML Source Tool for Mutual Funds
August 2008
Creating and Managing Offshore Funds
July 2008
Form ADV Part 2 Proposal
June 2008
Newly Proposed Changes to Regulation S-P
May 2008
Metadata - Hidden Electronic Information with Hidden Risks
April 2008
Publications
February 2007 - Shustak & Partners - Best Practices to Use During the SEC Exam (Michelle Jacko)
January / February 2001 - NSCP Currents - IARD Conversion Q&A (Michelle Jacko)
Suite 208