SEC Exam Success Webinar with MCO and NorthPoint Compliance

    

 

MyComplianceOffice is pleased to confirm Victoria Hogan and Colleen Montemarano of Northpoint Compliance as co-hosts and speakers for the August Webinar, “SEC Exam Success with the Ex-Examiners.”

Discover the “do's and don'ts” when responding to a document request list or when being interviewed by examiners, the trends in the current examination program, and the lessons to be learned from enforcement actions.

Victoria Hogan, CFA, President, worked for over six years as a compliance examiner in the New York Regional Office of the U.S. Securities and Exchange Commission. Victoria also spent two years as a compliance officer at Fortress Investment Group. Victoria graduated magna cum laude from The College of New Jersey.

Colleen Montemarano is a consultant at NorthPoint. Prior to joining NorthPoint, Colleen worked for over six years as a compliance examiner in the New York Regional Office of the US Securities and Exchange Commission. Colleen graduated magna cum laude from St. Thomas Aquinas College with a BS in Finance.

Northpoint Compliance provides compliance assistance to investment advisers registered with the U.S. Securities and Exchange Commission (SEC).

As a result of many years of experience in both the public and private sectors, NorthPoint understands the compliance requirements of investment advisers and how to develop, implement and maintain an effective program that will accomplish your compliance

Join Victoria, Colleen and MyComplianceOffice on August 17th at 12 pm Est for a Free Webinar, “SEC Exam Success with the Examiners.” Space is limited. 

If you missed the webinar, download the slides here.

Comments