Careers

Diversity

Experience

Innovation

Locations

About

Pages

Meet our team of innovators
Ask us how we do it

Professionals

Insights

Services

Thompson Hine LLP, a full-service business law firm with approximately 400 lawyers in 8 offices, was ranked number 1 in the category “Most innovative North American law firms: New working models” by The Financial Times and was 1 of 7 firms shortlisted for The American Lawyer’s inaugural Legal Services Innovation Award. The firm has been recognized by the National Law Journal as a Legal Technology Trailblazer and featured by Bloomberg for its innovative service delivery models, which drive accuracy and predictability. The firm’s commitment to innovation is embodied in Thompson Hine SmartPaTHTM – a smarter way to work – predictable, efficient and aligned with client goals. For more information, please visit ThompsonHine.com and ThompsonHine.com/SmartPaTH.

Home | Thompson Hine LLP

Atlanta

Chicago

Cincinnati

Cleveland

Columbus

Dayton

New York

Washington, D.C.

core/separator

Date: June 23, 2021 Time: 10:30 a.m. - 11:00 a.m. ET Contact: CElise Hoffer, 513.352.6748 -&nbsp;<a href="mailto:Elise.Hoffer@ThompsonHine.com">Elise.Hoffer@ThompsonHine.com</a>

core/paragraph

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.

contentpilot/introduction

core/heading

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.

core/list

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

Questions? Contact Elise Hoffer <a href="mailto:Elise.Hoffer@ThompsonHine.com">Elise.Hoffer@ThompsonHine.com </a>513.352.6748

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

Services