August 6, 2015
Division
Numerous
Speaker: Nick Prokos, Partner, ACA Compliance Group
Speaker: Jon Kropf, Managing Director, ACA Compliance Group
Speaker: Adam Palmer, Managing Director, ACA Compliance Europe
Speaker: Melissa Wheeler, Senior Principal Consultant, ACA Compliance Group
Speaker: Scott Brindley, Senior Principal Consultant, ACA Compliance Group
Speaker: Anthony Perez, Principal Consultant, ACA Compliance Group
Webcast Discussion Includes:
- Types of Regulatory Exams (SEC, FCA, FINRA, NFA)
- Current Exam Initiatives
- General Exam Considerations
- Exam Management Leading Practices
- Preparing for the exam
- Protocols during the exam
- Exam conclusion and next steps