JOIN WITH US FOR LIVE WEBINAR -"Tips on Dealing with Securities Regulatory Authorities – Audits, Etc

Live Webinar: Tips on Dealing with Securities Regulatory Authorities – Audits, Etc. When: Wednesday Aug 4, 2021 – 01:00 PM EDT Duration: 60 Minutes.
This webinar will discuss ways to effectively and efficiently deal with regulators, whether it be from an audit or other interaction. Regulators speak their own language and understanding this is imperative to building relationships and passing regulatory scrutiny.

Areas Covered in the Webinar:
Understanding the language of regulators
Effectively and timely responding to regulators
How to show your cooperating with regulators to earn their respect
How to enhance your written and verbal communication with regulators
How to develop sound relationships with management at a regulatory agency
Developing trusting relationships with regulators
Leveraging relationships with regulators to enhance your brand and reputation
Ensuring a sound relationship between the CCO and regulators

Leave a Reply

Your email address will not be published. Required fields are marked *