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


Instructor: Jack Bensimon
Product ID: 706261

  • Duration: 60 Min
This webinar will discuss ways to effectively and efficiently deal with regulators, whether it be from an audit or other interaction. Regulators speak their own language and understanding this is imperative to building relationships and passing regulatory scrutiny.
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Read Frequently Asked Questions

Why Should You Attend:

  • Do you know what regulators look for in an audit and/or review?
  • Are you speaking the same language with regulators?
  • Are you effectively communicating issues and remediation plans with regulators?
  • How have you corrected previous troubled relationships with regulators?
  • How will you sufficiently prepare for a visit by a regulator?
  • Which key personnel at a regulator should you focus on?
  • How can you most quickly prepare for a surprise visit or review by a regulator?

Managing relationships with regulators and maintaining a semblance of diplomacy is essential to ensure the integrity of the relationship is intact.

Regulators are increasingly demanding more of companies by way of a detailed audit trail, documentation, resources, testing, updating policies & procedures, and ensuring overall compliance effectiveness.

Regulatory fines, penalties, suspensions, notices, and other enforcement actions have increased over the last few years and show no signs of slowing down. Such actions have also made more headlines, exposing firms to brands and reputational risks.

This webinar will discuss ways to effectively and efficiently deal with regulators, whether it be from an audit or other interaction. Regulators speak their own language and understanding this is imperative to building relationships and passing regulatory scrutiny.

It will teach you how to most effectively deal with and manage relationships with regulators in a way that is sustainable to occupies minimal resources.

Areas Covered in the Webinar:

  • 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

Who Will Benefit:

  • CAMLO (Chief Anti-Money Laundering Officers), Compliance Officers, founders, legal, compliance staff, Chief Compliance Officers, Chief Operations Officer, Chief Technology Officers, Compliance Director, auditors, Chief Financial Officer, Chair of board, director of board, Audit Committee member, Chief Executive Officer
Instructor Profile:
Jack Bensimon

Jack Bensimon
Managing Director, Black Swan Diagnostics Inc

Jack is a seasoned securities law / banking law professional in the securities industry. Through Black Swan Diagnostics Inc., he advises banks, broker-dealers, fixed income dealers, MSBs, ATS, regulators, trust and insurance companies, Portfolio Managers, Exempt Market Dealers, Investment Fund Managers, mutual fund dealers, energy companies, fintech companies, robo advisers, software providers, blockchain companies, cannabis platforms and issuers. He has registered various entities with the SEC, OSC/IIROC, spanning PM/IFM/EMD licenses. He also provides ongoing and interim CCO/CAMLO regulatory compliance services to different types of regulated financial entities.

Jack is a graduate of the University of Toronto, Faculty of Law, Master of Laws (LLM) in Business Law, and completed both his General LLM and Securities Law LLM at Osgoode Hall Law School, York University. Jack is also a graduate of the University of Pennsylvania, The Wharton School of Business, in a graduate program in investment management. He completed his B.A. (Hon), Economics/Math, University of Toronto.

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