5e. ALL LAB – Detecting and Reporting Suspicious Activity (Intermediate)

The lab will provide practical steps and tools to identify, investigate, and report suspicious activities. Attendees will explore manual systems (e.g. MS Excel) and automated systems (vendors) for analyzing, identifying, and reporting suspicious activities. This session is closed to both regulators and members of the press.


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5d. PF - Marketing and Sales of Private Fund Interests (Intermediate)

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5f. IA/IC/PF LAB – Preparing for SEC Regulatory Examinations (Intermediate)