The Source for
exclusive news on
securities Regulation

04:39 PM, Mar. 10, 2010
DOWNLOAD CURRENT ISSUE (PDF)
CORPORATE ACCESS
CONTACT US
SUBSCRIBE NOW
FREE TRIAL
Skip Navigation Links
NEWS
Home
Top Stories
Brokerage
Investment Management
Europe & Asia
Corporate
FEATURES
Regulatory Alert
Bar Stool
Special FeaturesExpand Special Features
Awards
Regulatory Talk
Conference Reports
Scroll up
Scroll down
RESOURCES
Archives
Links
Corporate Access
Buyer's GuidesExpand Buyer's Guides
Rising StarsExpand Rising Stars
Events
Securities Technology Product & Services Online Guide
Hedge Fund Service Provider Guide
Pension Fund Service Provider Guide
Structured Finance Service Provider Guide
Scroll up
Scroll down
20 Rising Stars of Mutual Funds - 2008
The 20 Rising Stars of Compliance - 2007
The 20 Rising Stars of Retirement Plan Advisors - 2007
The 20 Rising Stars of Wealth Management
The 20 Rising Stars of Hedge Funds
The 20 Rising Stars of Real Estate
The 20 Rising Stars of Fixed Income
Scroll up
Scroll down

Skip Navigation Links
MY ACCOUNT
Login
Update Login Information
Update Account Information
Renew Subscription
CUSTOMER SERVICE
Agents
About Compliance Reporter
Contact Us
Help/FAQ's
ADVERTISING
Advertising Opportunities
SUBSCRIBE
Subscribe
Free Trial

Compliance Reporter Events

 
The Ascendant Investment Adviser Compliance Conference  
Santa Monica, CA March 10, 2010 - March 12, 2010
 

The Ascendant Investment Adviser Compliance Conference

A BOLD NEW WORLD OF COMPLIANCE: 2010

Staying on Top of Changing Regulations & Examinations

Understanding Your Fiduciary Duty

Santa Monica, California

Loews Santa Monica Beach Hotel

March 10 – 12, 2010

A conference to provide you with information about how to move forward and stay ahead; learn more about the industry and how to be smart about compliance so that you can add to the value of your business.

Ascendant programs meet criteria for continuing education credits for accountants, financial planners and attorneys.
For more information about this conference please visit http://www.ascendantcompliance.com/currentconference.html or call 860-435-2255

 
http://www.ascendantcompliance.com/currentconference.html  
 
 
The Ascendant Investment Adviser Compliance Conference 
Santa Monica, CA March 10, 2010 - March 12, 2010
 

The Ascendant Investment Adviser Compliance Conference

A BOLD NEW WORLD OF COMPLIANCE: 2010

Staying on Top of Changing Regulations & Examinations

Understanding Your Fiduciary Duty

Santa Monica, California

Loews Santa Monica Beach Hotel

March 10 – 12, 2010

A conference to provide you with information about how to move forward and stay ahead; learn more about the industry and how to be smart about compliance so that you can add to the value of your business.

Ascendant programs meet criteria for continuing education credits for accountants, financial planners and attorneys.
For more information about this conference please visit http://www.ascendantcompliance.com/currentconference.html or call 860-435-2255

 
http://www.ascendantcompliance.com/currentconference.html  
 
 
MoneyLaundering.com's 15th Annual International Anti-Money Laundering  
Hollywood, Florida March 15, 2010 - March 17, 2010
 

MoneyLaundering.com's 15th Annual International Anti-Money Laundering Conference, coming next March in Hollywood, Florida, brings you together with nearly 60 AML/CTF thought leaders and regulators from around the world – offering you maximum interaction and the best AML training available. Speakers include Adam Szubin, Director of OFAC, and executives from BNY Mellon, the World Bank, E*TRADE, Wal-Mart and Scotiabank. You'll hear about emerging global trends, get industry-focused sessions and peer idea exchange, plus simultaneous Spanish translation and targeted Latin America tracks. Register now at moneylaunderingconference.com to save hundreds of dollars off regular prices.

 
http://www.moneylaunderingconference.com/  
 
 
Marcus Evans, Corporate Fraud event  
Boston, MA March 15, 2010 - March 16, 2010
 

ttending this event will promote benchmarking and networking across industries with other professionals in this field, and will help you to keep up on the emerging issues as well as scams that are out there. In addition to case studies from leading industry professionals from Fortune 500 companies, there will be a strong showing of governmental bodies and regulatory agencies, including the Securities and Exchange Commission (SEC), the Internal Revenue Service (IRS) and the Department of Justice (DOJ). Attendees will learn the perspective of these agencies and will stay up-to-date on the current issues in fraud management.

 
http://www.marcusevansch.com/CR  
 
 
ACI's Advanced Forum on Securities Regulation & Enforcement 
New York, NY March 22, 2010 - March 23, 2010
 

Hear from 12 Key Regulators and 8 In-House Counsel from Leading Financial Institutions at ACI's Advanced Forum on Securities Regulation & Enforcement. Register now: 888-224-2480. For more information visit www.americanconference.com/securities

 
www.americanconference.com/securities  
 
 
FRA, The Due Diligence Master Class 
NYC March 24, 2010 - March 25, 2010
 

 

 
http://www.frallc.com/conference.aspx?ccode=b740  
 
 
Corporate Counsel Exchange™ 
Brussels, Belgium April 18, 2010 - April 20, 2010
 

As legal cost control continues to dominate the headlines, General Counsel's commitment to developing strategic and innovative spend management methods has been growing by the day. It has become imperative to remove the risk of reactionary spending and work towards aligning legal team resources to meet key business goals, both internally and externally How are GC's delivering the value that CEO's and CFO's expect from their legal department? Have legal departments really emerged in the post-economic crisis with streamlined and agile infrastructures?

The Corporate Counsel Exchange™ offers a perfect setting for senior legal professionals across Europe to debate, network and understand effective business strategies at a level that befits their role. This exclusive event tackles challenges and helps find solutions through a serious of conference sessions, roundtable discussions and one-one-one meetings with pre-selected solution providers.

To request your complimentary invitation, or for information on solution provider packages, please contact Kate Bentley: exchangeinfo@iqpc.com  or call +44 (0) 207 368 9340

 
www.corporatecounselexchange.co.uk  
 
 
The 2nd Annual Investment Management Industry Transformation and Outsourcing Strategies Forum 
April 20, 2010
 

The 2nd Annual Investment Management Industry Transformation and Outsourcing Strategies Forum is a one-day conference that brings together global thought leaders and investment management industry decision-makers to share their insights into how the financial services industry can emerge from the crisis. A variety of panel discussions, keynote addresses, and case studies will address how issues such as regulatory amendments and cost pressures are transforming the investment management industry. Event participants will discuss how investment managers can best regain the confidence of retail and institutional investors. The event will also deliver insights into the priorities and demographics of today's investor and describe how investment management firms are using alternate operating models to scale and to meet customer demand for increased transparency while providing them with higher alpha.

Complimentary passes are still available.  Register today by visiting www.FSOkx.com or call 1732-462-3763.

 
http://www.fsokx.com/FSOkx/IMITOSForumLondon2010/Introduction.aspx  
 
 
Corporate Compliance Exchange™ 
Brussels, Belgium May 16, 2010 - May 18, 2010
 

Business ethics, high profile fraud incidents and corporate blunders over the last few years have intensified the need for European companies to strengthen their GRC initiatives. Faced with budget cuts, unregulated markets and undefined compliance models, organisations are challenged with the daunting task of mitigating against risk and developing comprehensive governance and compliance policies.

Unlike typical conferences, the Corporate Compliance Exchange™ focuses on networking, strategic conference sessions and one-on-one meetings with solution providers. This unique event provides Chief Compliance Officers and senior legal and GRC executives the opportunity to source the right technologies, understand innovative training systems and leverage cost effective solutions.

To request your complimentary invitation or for information on solution provider packages, please contact Kate Bentley: exchangeinfo@iqpc.com  or call +44 (0) 207 368 9340

 
www.complianceexchange.co.uk  
 
 
Shared Services Exchange™ 
The Hague, Netherlands September 26, 2010 - September 28, 2010
 

Shared Service Centres have long been seen as the cost saving centre of HR, Finance & Accounting and IT processes, but with changing employment trends and global challenges facing organisations, how can SSC's continually offer service value?

Unlike typical conferences, the Shared Services Exchange™ , which will be co-located with the Corporate Finance Exchange™, focuses on networking, strategic conference sessions and one-on-one meetings with solution providers. The Exchange invites strategic decision makers to take a step back from their current operations, see what strategies and solutions others are adopting, develop new partnerships and make investment choices that deliver innovative solutions and benefits to their businesses.

To request your complimentary invitation or for information on solution provider packages, please contact Kate Bentley: exchangeinfo@iqpc.com or call +44 (0) 207 368 9340

 
www.sharedservicesexchange.co.uk  
 
Compliance Reporter | DOWNLOAD CURRENT ISSUE (PDF) | Corporate Access | Contact Us | Subscribe | Free Trial | Sitemap
© 2008 Institutional Investor | Terms & Conditions | Privacy Policy