Wednesday, May 15: Hui Chen, author of the original version of the “Evaluation of Corporate Compliance,” provide an insider’s view on how to apply the updated guidance. She’ll share her unique insight on creating an effective, defensible program.
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Hui Chen on Decoding Regulations: An Insider’s Guide
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- Allan L. Lundervold January 16, 2020SEC Charges Individual with Acting as an Unregistered Broker
- Drake et al., Messier et al., Brooks January 16, 2020SEC Charges Eight Unregistered Brokers for Their Participation in Fraudulent Offerings of Microcap Securities
- Todays Growth Consultant Inc. and Kenneth D. Courtright, III January 15, 2020SEC Obtains Emergency Asset Freeze, Charges Businessman with Operating a Ponzi-Like Scheme
