Regulatory exams from the SEC, FINRA, or other agencies can be disruptive—but preparation is the key to success. Watch Confluence Compliance Services' essential webinar designed to relieve stress and maximize your firm’s exam readiness.

What You’ll Gain:

✅️ What to expect when you receive “the call”

✅️ How to manage document production under pressure

✅️ Crafting a compelling Day One Presentation

✅️ Building a strong culture of compliance and exam preparedness

✅️ The impact of mock exams—real-life success stories

✅️ Key trends and common findings from recent SEC and FINRA exams

Why This Matters:

With a 15% reduction in SEC staff, understanding the exam process is more crucial than ever. The SEC will continue identifying deficiencies, making it imperative for firms to focus on key areas like fees, expenses, allocations, valuations, and undisclosed conflicts.

Moderator	Panelist	Panelist
Kyrstin Ritsema, IACCP® Executive Director – Compliance Services Confluence	Victoria DeLucia Director of Institutional Engagement Confluence	Walter Root Senior Compliance Consultant Confluence

Moderator
Kyrstin Ritsema, IACCP®
Executive Director – Compliance Services
Confluence

Panelist
Victoria DeLucia
Director of Institutional Engagement
Confluence

Panelist
Walter Root
Senior Compliance Consultant
Confluence