Presenters Victoria G. Hogan and Colleen Montemarano of NorthPoint Compliance are former SEC Examiners who lend their experience to this exclusive MCO Webinar. This presentation reviews the SEC's National Exam Program 2018 Priorities, tips for registered investment advisers regarding compliance policies and procedures and how firms can conduct reviews that will prepare their program for a visit from SEC examiners.
You can download the slides from this webinar here.
Read our blog post; 'SEC Exams: The Do's & Dont's'