This webcast aired on October 6, 2022.
CPE Credit(s): 1
Whether routine or for cause, your compliance program will undoubtedly face a regulatory audit or examination. Are you prepared?
In this one-hour session, compliance experts will be joined by a leading chief compliance officer to walk you through what to expect and how to prepare for a regulatory audit, providing tactical strategies to help avoid common deficiencies and pitfalls, as well as first-hand perspective on the benefits of leveraging compliance technology and outside expertise.
Attendees will walk away with practical insight into:
- How to best prepare your firm for a regulatory audit.
- Common pitfalls and the cost of noncompliance.
- Technology vs. consulting: How to leverage the best-fit compliance solutions.
Speakers:
Zack Andresen, Sr. Director, North America – ComplySci
Chris DiTata, Esq., Senior Vice President, Compliance Operations and General Counsel – RIA in a Box
Jason Vinsonhaler, Director of Compliance – RIA in a Box
Jason Scoffield, Chief Compliance Officer – Audax Management Company
ComplySci is a leading provider of regulatory technology solutions that help compliance professionals identify, manage and report on employee conflicts of interests and compliance risk activities, including personal trading, political contributions, and other violations.
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