Events | 04-05-21
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