Whitepaper: What to do when (and before) SEC examiners arrive in your office

ByAllAccounts_ComplianceAre You Compliance-Ready?

12 Timely Takeaways for Preparing for the SEC’s 2013 Examination Priorities

Click here to download


– What the changing regulatory landscape means for you
– What the SEC is focusing on in 2013 and beyond
– How to perform a self-exam of your firm’s compliance readiness
– Questions to ask yourself as you prepare for your exam
– Key steps you can take to ensure you’re compliant
– What to do when the examiners arrive in your office

Download Whitepaper Now 


About Maureen Lowe

President and Founder of Financial Technologies Forum, LLC. Editor-In-Chief of FTF News. Entrepreneur, Jersey Girl that recently returned to Jersey, Loves to Bake, Married to a Kiwi, First Time Mom
This entry was posted in Compliance, Regulation and tagged , , , , , . Bookmark the permalink.

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