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Connecticut (CT) Asset Protection CLE Course Catalog

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All CLE Courses For Connecticut (CT) Asset Protection

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45 minutes
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SEC Enforcement and Regulation of Asset Managers, Broker-Dealers, Private Funds and Hedge Funds
A panel of experts discusses the heightened scrutiny and enforcement actions by the SEC against financial firms for compliance violations, emphasizing the need for policy and technological adjustments to mitigate risks and avoid penalties.

Securities Docket

$75

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