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WEBINARS
     
 

Unable to attend a live webinar?
View a recording of Marcum's webinars from our archives.

How to Survive a Regulatory Examination
Tuesday, April 17, 2012

Discussion highlights include:

  • Purpose and Scope of Regulatory Examinations – new initiatives and focus areas
  • Preparation and Management of the Examination
  • Tips to Facilitate the Examination Process
  • Responding to Preliminary Findings – the exit meeting, exam letter, enforcement

Moderator

Sheri Lejman, Partner, Alternative Investment Group, Marcum LLP

Featured Experts

  • Michelle Jacko, Esq., CEO, Core Compliance & Legal Services, Inc.
  • Zachary Rosenberg, Esq., Compliance Consultant, Core Compliance & Legal Services, Inc.

Please note: CPE credits cannot be granted for viewing archived webinars.

Private Fund Adviser Registration: What to Expect
Tuesday, January 17, 2012

Discussion highlights include:

  • Advisers to Private Funds - It's Time to Register!
  • Essential Reporting Requirements for Private Fund Advisers
  • How to Create an Effective Compliance Program
  • Next Steps

Moderator

Sheri Lejman, Partner, Alternative Investment Group, Marcum LLP

Featured Experts

  • Zachary Rosenberg, Compliance Consultant, Core Compliance
  • Marsha Harmon, COO, Core Compliance
  • Sheri Lejman, Partner, Marcum LLP

Please note: CPE credits cannot be granted for viewing archived webinars.
 
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