Understand your SEC Audit - What are Regulators Really Looking For?

Unlike traditional compliance presentations that focus on regulatory theory, this session will deliver a practitioner-led deep dive into the actual audit experience and draw from authentic case studies. Attendees will have the opportunity to have a hands-on approach to strategic considerations and practical challenges that define successful audit navigation. They will receive actionable frameworks for managing their own regulatory encounters with confidence and professionalism.

Learning Objectives:

1. Understand the audit process through procedures, timelines, and IRS protocols.
2. Implement pre-audit preparation and initial response strategies.
3. Analyze deficiency letters and develop appropriate response strategies needed to negotiate favorable resolutions through appeals processes and settlement techniques.