Survival Strategies for a Risk-Based SEC Examination
3:30 PM – 5:30 PM
Wednesday, May 16
A successful SEC Examination outcome is the goal of every CCO. A good outcome is not by accident. It involves a well-considered game plan, preparing management and employees, document collection and delivery, understanding SEC concerns and objectives and, especially, excellent management of the process. Understand the process from the perspectives of former SEC officials and now respected members of the securities bar. You will leave this extended workshop with invaluable recommendations and insights and an enhanced confidence to handle the inspection that is in your future.
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