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 firstname.lastname@example.org or Sheri Lejman at email@example.com if you have any questions.
We will provide the Webinar participation link to registered participants the day before the event.
Tuesday, April 17, 2012
10:00 am PST/1:00 pm EST
Duration: 1 hour
Sheri Lejman, Partner, Alternative Investment Group, Marcum LLP
Michelle Jacko, Esq., CEO, Core Compliance & Legal Services, Inc.
Zachary Rosenberg, Esq., Compliance Consultant, Core Compliance & Legal Services, Inc.