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