Ascendant’s ongoing education series ComplianceCast returns on Thursday, June 16 at 2 pm ET with an episode focused on regulatory forms and filings.
The subject will be presented by Kevin Loria, VP & Compliance Services Consultant, and E.J. Yerzak, Partner and VP of Technology, both of Ascendant.
They will be discussing the following top topics:
- Current Snapshot of Required Filings
- Identifying Difficult Aspects
- Methods for Managing
- Current Regulatory Concerns
- Forms: ADV, 13H, 13F, 13D, 13G, PF, SLT, TIC, SHC, SHL, and more
ComplianceCasts are free to attend and continuing education credits are offered.
To register for any of our upcoming presentations, click here.
To visit our ComplianceCasts archive with presentations on CCO Liability, Cybsersecurity and Creating a Culture of Compliance, click here.