How to Successfully Navigate a Regulatory Exam in an Ever-Increasing Aggressive Environment
This session will address how to better prepare for a regulatory examination in the current ever increasing regulatory environment, including avoiding costly client reimbursements, custody, DOL, new marketing rule, SEC cyber initiative, important ADV and advisory agreement disclosures, and corresponding policies and procedures.
Learning Objectives:
- Understand exam readiness
- Discover important ADV, agreement, and miscellaneous protective disclosures
- Learn how to avoid potential costly compliance mistakes
Thank you for attending!
