Katten will present the "How to Survive A Regulatory Inspection, With Special Focus on Form CRS and Regulation BI" webinar at 1:00 p.m. (ET) on Thursday, May 7. Financial Markets and Funds partners David Dickstein, Susan Light and Richard Marshall will discuss key topics in surviving the interactions with the regulators that are among the most important events in the life of a regulated entity, including:
- The six rules for surviving an inspection
- Handling difficult inspection issues
- Current inspection priorities and how to address them
For more information, contact Katten Webinar Support.
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Partner and Co-Chair, Broker-Dealer Regulation+1.212.940.8599 -
New York
