This workshop-style session will focus on two main topics – what you should proactively have in place so you are in the best position possible to respond to a FINRA or SEC examination and how best to use The Archiving Platform from Smarsh to make your response quick, easy and thorough.
This session will feature a blend of industry expert presenters to give you the most complete and wide view on this topic from their unique perspectives. In addition to a Smarsh expert presenter, this session will feature content presented by Smarsh customer and Customer Advisory Board member Cheryl Ritchey, VP, Licensing and Registration Manager with BBVA and compliance industry experts from Cordium.
Responding to regulator examinations need not be time-consuming and complicated so come and hear from the experts and one of your peers how to be prepared and respond using proven best practices that work.
Attend this breakout session to:
- Know what regulators are looking for as part of an examination
- Understand what you can do to be best prepared and the specific things you should proactively have in place ahead of an examination request
- Gain specific knowledge to take advantage of key features and functionality within The Archiving Platform that will pay off the next time you are examined or audited by FINRA or the SEC
Responding to regulator examinations in a timely and thorough manner is a necessary obligation – why not attend this session at SmarshCONNECT and see how easy it can really be to deal with them when they happen.