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SEC Exam Success with the Ex-Examiners

    

 

SEC Exam Success with the Ex-Examiners

Our August webinar shed light on the SEC examination process and how to prepare for an exam. The webinar was co-hosted by former SEC examiners and now NorthPoint Compliance employees Victoria G. Hogan and Colleen Montemarano. We Discover the “do's and don'ts” when responding to a document request list or when responding to questions in an SEC exam interview. We will also discuss the trends of the SEC’s current examination program and lessons to be learned from SEC enforcement actions

You can access the slides from this webinar here

Some SEC related content for you;

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