5f. IA/IC/PF LAB – Preparing for SEC Regulatory Examinations (Intermediate)

In this regulatory exam preparation lab, industry experts will share their insights on best practices for managing complex SEC exam requests, creating a rapport with exam teams, and preparing for on-site or virtual interviews from SEC examiners. The lab facilitators will provide their perspectives on understanding potential and actual expectations or deficiencies and communicating with enterprise senior management on exam outcomes. This session is closed to both regulators and members of the press.

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