This webcast is a part of ACA's free Spring Conference Webcast Series. In response to the impact the coronavirus (COVID-19) pandemic is having on our clients and the financial services industry, ACA has launched our Spring 2020 Compliance and Performance Conference in a virtual format.
About this session: Tales from the Trenches: Experiences from Regulatory Exams
What actually happens during an exam? How can your firm best prepare for an exam? Join our panelists who have experienced SEC and NFA exams in the past year as they share their experiences and what to expect during these exams.
Please note: Press are not permitted to attend this session.