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Managing Regulatory Examinations Across Regulated Entities
Managing Regulatory Examinations Across Regulated Entities
 

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