Examinations and Audits

Webinar on SEC Examinations

regulatory compliance consultant
| by Jaqueline Hummel, Partner and Managing Director

Focus-1-Hardin-Webinar-Header-003

CCO Speaks

Insights from a Recent SEC Examination

Thursday, June 9

On Thursday, June 9, Hardin Compliance Consulting and Focus 1 Associates conducted their first interview in the new “CCO Speaks” series.  We interviewed  CCO Steven Weiss at Roosevelt Investment Group, which has recently undergone an SEC examination. Find out what Steven wishes he knew before the exam, what went well, and what he would have done differently.

Learn about the examination experience:

  • Sequence and timeline
  • Document requests…and requests, and requests
  • Management and staff interviews
  • Key takeaways from the exam
  • What the SEC didn’t ask
  • Their strategy for dealing with staff findings

Download the presentation CCO-Speaks-Recent-SEC-Exam-2016-06-09.

Brought to you by Focus 1 Associates and Hardin Compliance Consulting.  Check out the webinar:

 

 

 

 

Steven K. Weiss, CCO, General Counsel and COO
Steven K. Weiss, CCO, General Counsel and COO
Tobin S. Cochran, IACCP Managing Member/ President Focus 1 Associates LLC
Tobin S. Cochran, IACCP Managing Member/ President Focus 1 Associates LLC
Jaqueline M. Hummel, IACCP, AIFA Managing Director and Partner Hardin Compliance Consulting, LLC Hardin Compliance Consulting LLC
Jaqueline M. Hummel, IACCP, AIFA Managing Director and Partner Hardin Compliance Consulting, LLC Hardin Compliance Consulting LLC
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