Warner is pleased to introduce Legally Speaking: Broker-dealer and Investment Adviser Industry Insights – 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.
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
Look for additional Warner vlog recordings in the near future from Warner’s Funds and Investments Industry Group.
