Have an Upcoming SEC Exam? Preparation Starts Now

By ByAllAccounts, Podcast Series on Wednesday, July 9th, 2014


The following podcast is an excerpt from our June 25th webinar “Are You Prepared for an SEC Audit?”
 
Click the play button below to hear compliance tips and best practices from presenter Krista Zipfel, CFA, President and CEO of Advisor Solutions Group

 



You may also be interested in:
 
Preparing for Your Next SEC Exam (Whitepaper)
 
And the definition of obsolete technology is... (Blog post by Susan Glover, President, Susan Glover & Associates, LLC)  
 
Surviving an SEC Audit: Tales from a Very Recent Experience (Webinar Replay) 
 

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