CCO Speaks about Recent SEC Exam


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CCO Speaks

Insights from a Recent SEC Examination


Thursday, June 9
12pm Eastern / 9am Pacific
1-Hour Webinar

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.

Guest Speaker


Tim Simons - Focus 1 AssociatesOur 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 >

Brought to you by Focus 1 Associates and Hardin Compliance Consulting:


Tim Simons - Focus 1 AssociatesTobin S. Cochran


Managing Member/ President

Focus 1 Associates LLC

Tim Simons - Focus 1 AssociatesJaqueline M. Hummel


Managing Director

Hardin Compliance Consulting LLC




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