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Warner Norcross + Judd LLP is a corporate law firm with over 230 attorneys serving clients in nine offices throughout Michigan. Among the largest law firms in Michigan, Warner works in virtually all areas of business law.

Michigan Law Firm - Warner Norcross + Judd LLP

Warner is pleased to introduce <em>Legally Speaking: Broker-dealer and Investment Adviser Industry Insights </em>– a series of vlogs from our Funds and Investments Industry Group. Today’s inaugural vlog features Senior Compliance Consultant Diane Currie who works with compliance officers and compliance departments in preparing and monitoring their compliance programs.

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Diane highlights mock exams — why they’re important and how to use them. The purpose of doing a mock exam is to prepare for visits from SEC or FINRA examiners. Diane reviews the proper frequency of conducting mock exams, the options for who may administer the exams and the pros and cons of each option. Additionally, she explains how helpful mock exams can be for your business now and into the future, how an exam can help you budget and how it can offer supplemental materials for your annual review.

SEC Mock Exams + Why They’re Important

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Look for additional Warner vlog recordings in the near future from Warner’s Funds and Investments Industry Group.

Legally Speaking: Broker-dealer and Investment Adviser Industry Insights

Compliance Consulting Support

Funds and Investments

Senior Compliance Consultant

Diane M. Currie

Corporate

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SEC Mock Exams + Why They’re Important

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