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.
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