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SEC Exam Success with the Ex-Examiners

SEC Exam Success

Introduction

Shedding light on the SEC examination process and on how to prepare for an exam are MyComplianceOffice's co-hosts and Victoria G. Hogan and Colleen Montemarano of NorthPoint Compliance. Discover the “do's and don'ts” when responding to a document request list or when being interviewed by SEC examiners, the trends of the SEC’s current examination program, and the lessons to be learned from SEC enforcement actions

You can download a full copy of the slides from this webinar.

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Full video transcript available below:

Hello everyone, my name is Stephen Taylor and I am the Chief Commercial Officer at MyComplianceOffice. I want to thank you all for joining our webinar today hosted by MyComplianceOffice and co-hosted by NorthPoint Compliance. If you have any questions join the webinar, please use the chatter option on the side panel of the go-to webinar meeting itself. Our expert will try to answer all of them before the end of the session during our Q and A portion.

Our presenters today will shed light on the SEC examination process and on how to prepare for an actual SEC examination. Topics to be discussed include the do's and don'ts when responding to a document request list and when being interviewed by SEC examiners, trends with respect to the SEC current examination program and lessons to be learned from SEC enforcement actions.

Let me introduce you to my co-host, Victoria Hogan, CFA, President, worked for over six years as a compliance examiner in the New York Regional Office of the US Securities and Exchange Commission. Victoria also spent two years as a Compliance Officer at Fortress Investment Group. Victoria graduated magna cum laude at 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. Without further ado, I shall hand it over to out presenters and they'll lead you through today's presentation. Thank you.

Thank you Stephen. This side we have here is just an overview of our firm, NorthPoint Compliance. If you'd like to learn more about us or visit our website, then we can move on to the next slide. My name is Victoria Hogan and today we hope to shed some light with respect to the SEC examination process. Here we have an outline of the topics that we will address in order to do this. 

 

 

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