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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- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
- Compliance Considerations for Dual Registrants
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