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Webinar - How to Survive a Regulatory Examination

17-Apr-2012

Private Fund Adviser Registration: What to Expect

This webinar will offer valuable regulatory insights and practical tips on How to Survive a Regulatory Examination

Discussion highlights include:

  • Purpose and Scope of Regulatory Examinations – new initiatives and focus areas
  • Preparation and Management of the Examination
  • Tips to Facilitate the Examination Process
  • Responding to Preliminary Findings – the exit meeting, exam letter, enforcement

Please contact Marsha Harmon at marsha.harmon@corecls.com or Sheri Lejman at sheri.lejman@marcumllp.com if you have any questions.

We will provide the Webinar participation link to registered participants the day before the event.

DATE
Tuesday, April 17, 2012

TIME
10:00 am PST/1:00 pm EST
Duration: 1 hour

LOCATION
Webinar

MODERATOR
Sheri Lejman, Partner, Alternative Investment Group, Marcum LLP

FEATURED EXPERTS
Michelle Jacko, Esq., CEO, Core Compliance & Legal Services, Inc.

Zachary Rosenberg, Esq., Compliance Consultant, Core Compliance & Legal Services, Inc.

 

 
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