Maximizing Preparedness: The Benefits of Conducting a Mock SEC Exam 

Join us Tuesday, December 17th at 11:00am ET for a live webcast where we’ll explore the significant advantages of conducting a mock SEC exam. This essential preparation tool transforms uncertainty into certainty, ensuring that you are fully aware of what is happening within your firm and are well-prepared for an SEC exam.  

We will discuss: 

• Improved strategies for firm-wide preparation  
• Real-world insights into the benefits of a mock exam from a regulator’s perspective  
• Practical advice on achieving a state of preparedness that leaves little room for doubt  

Who should attend?

This webcast is essential for compliance officers, risk management professionals, legal advisors, senior executives, and any professional involved in regulatory compliance and preparedness. 

Speakers

• Dan Faigus, Senior Specialized Examiner – Private Funds, SEC 
• Carlo di Florio, President, ACA Group 
• Josh Broaded, Partner, ACA Group
• Michele Foldenauer, Managing Director, ACA Group 
• Robert Baker, Managing Director, ACA Group