Surviving an SEC Examination

Nobody likes a pop quiz for which they didn’t study. But since the SEC exam is expected, let it be your firm’s opportunity to shine. This is your moment to explain your firm’s business and operations, and to validate the compliance function at your firm through your efforts to craft a robust compliance program. Hear from our consultants why the arrival of SEC examiners need not be cause for trepidation and concern, as they provide helpful tips to not only survive an SEC exam, but to master the examination process.

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Ascendant works together with clients to identify and assess critical needs through customized plans. If you need assistance with compliance functions, regulatory services, cybersecurity or technology tools, we’d love to speak with you.