Compliance Presentation

Building a Compliance Program to Support Expert Network Use–Free RCA Webcast

Webcast on “Building a Compliance Program to Support Expert Network Use” October 15, 2015, noon to 1:30 pm EST Catherine Smith, General Counsel at Guidepoint, will participate on a Regulatory Compliance Association (RCA) PracticeEdge Session on expert networks and compliance. Registration for the live webinar is free. Register now

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Compliance Presentation

Compliance, Risk & Enforcement Conference

November 4, 2014 – (New York, NY) Catherine Smith, General Counsel at Guidepoint, discussed “Upgrading Compliance Process & Practice Top Priorities for 2015” at the RCA Compliance, Risk & Enforcement (CRE) conference in New York.

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Compliance Presentation

Boston Security Analysts Society Luncheon

September 24, 2014 – Catherine Smith, General Counsel at Guidepoint, presented “What CFAs Need to Know About Compliance and Expert Networks” at the Boston Security Analysts luncheon.

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Compliance Presentation

Private Fund Compliance Forum 2014

May 7, 2014 – Catherine Smith, General Counsel at Guidepoint Global, presents at Private Fund Compliance Forum 2014, a Private Equity International conference held in New York. She’ll share herexpertise in the session, “Beyond Compliance: Effectively Managing Risk within Your Firm.”

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Compliance Presentation

Regulatory Compliance Association Symposia 2014

May 1, 2014 – Guidepoint Global General Counsel, Catherine Smith, presents her perspective on compliance during the “Emerging SEC Examination and NFA Audit Practice” panel session at the Regulatory Compliance Association (RCA) Symposia in New York.

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