Regulatory Compliance Association Reviews

Materials

Disclaimer: PracticeEdge™ Series delivered by the RCA, its Endowing Organizations and affiliate Law Schools constitute a preview of a respective class session in the Law & Masters Concentration or myUniversity™.

The PracticeEdge™ Series is intended for informational purposes. The comments made by each member of the Speaking Faculty represent their personal view, and not the position of the Regulatory Compliance Association, its Endowing Organizations, affiliate law schools or universities, or a Speaker’s firm or organization. Additionally, the views expressed do not constitute legal or professional advice, or even a model of the same, applicable to any specific matter. Lastly, the RCA, its Endowing Firms, and affiliate law schools and universities assume NO liability for any actions or comments of the speaking faculty, such individuals remain solely liable for the same.

 

Presentation Materials Link:  Successfully Managing the Impact of Regulatory Investigations, Allegations of Fraud or Potential Illegal Acts on the Funds financial Reporting Process and Annual Audit (September 30, 2014)