IM Coffee Chat - Session Twenty-One – Handling Regulatory Inquiry - Mock Exams

Date: June 23, 2021

Time: 10:30 a.m. - 11:00 a.m. ET

Contact: Elise Hoffer, 513.352.6748 -

A complimentary webinar presented by Thompson Hine LLP

Join us for a mid-morning break to chat about hot topics and trends relevant to your business. Our concise and practical discussions will focus on a variety of developments that impact financial service industries, and we’ll offer insights and considerations that will certainly be of interest to you.

Wednesday, June 23

10:30 – 11:00 a.m. ET

Session Twenty-One: Handling Regulatory Inquiry – Step One: Practice Makes Perfect with Mock Exams

General counsels, chief compliance officers and compliance staff of registered broker dealers and investment advisers must stay prepared for periodic or for-cause examinations or regulatory inquiry. Whether just a check-up, or assessing risk for an impending exam, knowing vulnerabilities in advance can be a game changer. Our presenters will pinpoint key focus areas and best practices for advisers to consider before the examiner shows up. They will share their insights on the mock exam process and why it is an invaluable tool.

Topics include:

  • Using mock exams as a preemptive compliance assessment tool to demonstrate reasonable design despite a violation
  • Measuring enforcement/litigation risk before exam or investigation completion
  • The value of consultants and attorneys
  • What’s on the horizon for regulated entities


Upcoming program in this series (you must register separately for each):

Contact Elise Hoffer