Regulatory exams from the SEC, FINRA, or other agencies can be disruptive—but preparation is the key to success. Join Confluence Compliance Services for an 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.
Webinar Details:
Date: June 26th
Time: 11:00 AM ET
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Moderator
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Panelist
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Panelist
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| Kyrstin Ritsema, IACCP® Executive Director – Compliance Services Confluence |
Victoria DeLucia
Director of Institutional Engagement
Confluence
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Walter Root Senior Compliance Consultant Confluence |
Reserve Your Spot Today!
Don’t miss out—equip yourself with the strategies needed to navigate regulatory exams with confidence. The webinar will include the opportunity for live Q&A. A recording will be sent to registrants who cannot attend the live virtual session.