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
- Introduction from MCO and NorthPoint (2:31)
- The Pre-examination and First Steps in preparing for an SEC Exam (6:56)
- SEC Exams: The Onsite Visit and Best Practices for Interviews with your Staff (7:35)
- Final Steps: The conclusion of your SEC Exam (2:49)
- Current Exam Trends and Enforcement Actions of Note (5:02)
- A Compliance Officer's Best Tools and Tips for the SEC Exam Process (3:04)
- Q&A: Your Questions Answered by the Former Examiners (17:05)
You can access the slides from this webinar here
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