Preparation is the key to a successful SEC examination. Is your firm prepared? Do you know some of the curveball questions the examiners may use during the initial examination interview, or ways you can try to reduce the document production burden? Are you ready for questions about your technology and operations? Ascendant consultants Eugenie Warner and Linda Noyes discuss these and more during this second installment of our two part recap of Ascendant’s 2013 Spring Compliance Conference.
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- One Phish, Two Phish, Red Phish, Blue Phish: How to Detect and Mitigate Social Engineering and Ransomware Techniques
- Form ADV: What You Need to Know Now to Prepare for October
- The New AML Rule for Investment Advisers – How Will It Impact Your Firm?
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