How to Prepare for a Regulatory Exam Webinar

As the SEC and FINRA continue to expand their regulatory programs and compliance requirements continue to increase in complexity, industry participants face an increasingly challenging examination environment. To help firms address this reality, Cipperman's Compliance team will be sharing their insights on how to navigate regulatory exams. 

This Webinar will provide guidelines on how to prepare for a regulatory exam and will discuss current examination trends from the perspective of our practicing compliance experts. We will have an open dialogue and share information in the following areas:

• 2017 Examination Priorities (FINRA & SEC)
• Our perspective on increased examinations and the regulators' focus areas
• How to prepare various levels of your staff and set expectations for interacting with regulators
• Addressing document requests and preparing your compliance manual
• Best practices for responding to deficiency letters 

Our panel of experts includes Cipperman's President Rob Prucnal; Compliance Director, Jay Haas; Assistant Compliance Director, Doug Tyre; and Chief Operating Officer, Jon Wowak. This webinar will be in an interactive panel format, providing the opportunity for incoming questions. The presentation will be approximately 45 minutes, with a 15-minute question and answer period at the end.