Search Results for: cloud computing

Speaking Engagements

Doug speaks frequently on compliance-related topics. Here are some of those speaking engagements. Investment Adviser Marketing Rule Comply Webinars March 2024 Critical Skills for High Performance Compliance Professionals NRS  Boston Compliance Symposium August 2019 Does Corporate Governance Work? SCCE’s Chicago Regional Compliance & Ethics Conference May 2019 Introduction to the Advisers Act: Framework, Registration, Exclusions … Continue reading “Speaking Engagements”

Compliance Bricks and Mortar for February 17

These are some of the compliance-related stories that recently caught my attention. Court to Reconsider Authority of SEC Administrative Law Judges by Dave Michaels and Brent Kendall in the Wall Street Journal The U.S. Court of Appeals for the District of Columbia Circuit said it would reconsider an appeal that argues the SEC’s administrative courts … Continue reading “Compliance Bricks and Mortar for February 17”