2019 - Tips on Dealing with Securities Regulatory Authorities - Audits, Etc

Understanding the language of regulators
Effectively and timely responding to regulators
How to show your cooperating with regulators to earn their respect
How to enhance your written and verbal communication with regulators
How to develop sound relationships with management at a regulatory agency
Developing trusting relationships with regulators
Leveraging relationships with regulators to enhance your brand and reputation
Ensuring a sound relationship between the CCO and regulators