Events  |  04-05-21

Bates Compliance Webinar: Getting Ahead of an SEC Examination

Bates Compliance Webinar: Getting Ahead of an SEC Examination

It can be daunting for you and your firm to have to undergo an SEC examination. Join Bates Compliance to learn how to prepare and respond to the SEC during all four key examinations phases, when we cover:

  • What you can do now before getting the call from the SEC
  • Responding to the document request list
  • Preparing for the interviews – whether virtual or in-person – the do’s and don’ts
  • Answering questions, responding to findings, and tracking the commitments after the exam

Thursday, April 22, 2021

12:00 p.m. ET

Speakers:

Linda A. Shirkey, Managing Director

Shelley Dragon, CSCP, Consultant

Register Here

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