Speaking Engagement: Municipal Advisor & Broker-Dealer Exam Priorities and Best Practices

Written By Brandon Klerk

National Society  of Compliance Processional’s (NSCP) 

Join Brandon Klerk, Founder of Halyard Compliance LLC, at the NSCP’s 2020 National Conference for an interactive session on Broker-Dealer and Municipal Advisor Exam Best Practices.

Attendees will learn how to best prepare for a regulatory exam, including reviewing exam priorities, recent request lists, interview tips, records production, tracking, and when and how to respond to prospective findings and deficiencies.  Case studies and hypothetical situations will allow attendees to apply hands-on application of the learning objectives.

Learning Objectives:

  • Understand the various examination types and regulatory objectives

  • Learn how high-risk representatives and activities will impact examinations

  • Discuss best practices for managing the examination process and the use of external resources (i.e. consultants, attorney’s, tech support, etc.)

  • Identify when, and when not, to address findings with examiners

Register Here: https://national.nscpconferences.org/

Brandon Klerk https://www.halyardcompliance.com
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