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Webinars and CLE

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


Linda A. Shirkey, Managing Director

Shelley Dragon, CSCP, Consultant

Register for this Zoom Webinar

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