06-25-24
Managing the State Exam Process
Bates Group is excited to announce the upcoming Managing the State Exam Process webinar. This webinar is designed to provide you with valuable insights and strategies for navigating state exams effectively.
Date: Tuesday, June 25, 2024
- Structured approach to Examinations: Learn why your firm should have an examination plan - even (especially) if you have never been examined before.
- Managing the Examination: Scheduling and managing the on-site portion of the exam
- Examination-Driven Improvement: Responding to the report of the examination, including managing exam action items.
Who Should Attend? Chief Compliance Officers, Compliance Managers, BSA Officers, Regulatory Compliance Professionals, and anyone who works with regulators.