Insights from a Recent SEC Examination
Thursday, June 9
12pm Eastern / 9am Pacific
Space is limited. Reserve your spot today!
Save the date for the first webinar of our new series, “CCO Speaks.”
In this new series, we will conduct live, 1-hour interviews with Chief Compliance Officers about real-world compliance issues and experiences, and you will have the opportunity to ask questions.
Our first interview is with 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.
Steven K. Weiss
Chief Compliance Officer
General Counsel and Chief Operating Officer
The Roosevelt Investment Group, Inc.
Join us as we discuss 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
Register Now >