Complying with the Compliance Program Rule & Surviving the SEC Audit
Venue: New York
|Event Date/Time: Feb 26, 2007|
The qualifications for compliance officers
How to create an efficient compliance manual
How to establish a monitoring and auditing process
How to establish clear written policies and procedures
How to handle potential conflicts of interest
What’s of most concern to the SEC today?
What to expect from SEC examiners
Special issues after the exam: emails, audit reports and more
Effectively responding to the SEC's interview questions
Recent enforcement trends
...and much more!