Building a Gold Standard Compliance Program, Session 6: Engaging with Regulators


Welcome to the penultimate installment of our seven-part series on Building a Gold Standard Compliance Program.  In Session 6, we turn our attention to the critical task of engaging with regulators.

Tune in Wednesday, November 15 at 11:00 AM ET to gain invaluable insights and expert guidance from our distinguished panel of speakers, led by ACA’s Jaqueline Hummel, Director of Thought Leadership, alongside attorneys Lance Dial and Neil Smith from K&L Gates.

Discussion topics

During this session, we will discuss:

  • Preparing for an SEC examination: Learn how to organize the documentation, institute a review process, act as liaison with examiners, and prepare your firm for the exam process.
  • Dealing with regulators: Beyond being polite and professional, we will discuss how to answer examiners’ questions, keeping firm employees on track, and how to correct any misunderstandings.
  • Responding to difficult questions during an examination: No firm is perfect, so there will be times when you won’t have a good answer to an examiner’s question. We’ll discuss the best strategies for dealing with those situations.
  • When should you self-report: We will discuss making the decision to self-report and the best strategies for disclosure.

Who should attend

This webcast is for CCOs, COOs, and GC's looking to launch or enhance their compliance program with tried and tested best practices and foundational concepts. Firms of all sizes, from start-ups to those with an AUM over $1B, are welcome to attend.


  • Jaqueline Hummel, Director of Thought Leadership, ACA Group
  • Lance Dial, Partner, K&L Gates
  • Neil Smith, Partner, K&L Gates

All webcasts are recorded and will be sent to registrants following the broadcast.