Webinars and CLE
Bates Group webinars keep you up-to-date on the issues that affect your business. Check this page for upcoming programs, and sign up to our email list to be notified of future Bates Group webinars.
Webinar: Getting Ahead of an SEC Examination
Date/Time: Thursday, April 22, 2021 - 12:00 p.m. ET
Presented by Bates Compliance
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
Speakers:
Register for this Zoom Webinar