Tips for Remaining Compliant During Your SEC Exam

By ByAllAccounts, Podcast Series on Wednesday, July 16th, 2014


In the following podcast you’ll learn tips for remaining compliant during your next SEC exam.
 
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)
 
Surviving an SEC Audit: Tales from a Very Recent Experience (Webinar Replay) 
 
Podcast: Have an Upcoming SEC Exam? Preparation Starts Now

comments powered by Disqus