How to Successfully Prepare for a Compliance Audit

Thursday, Jun 20, 2024 at 2:00 PM ET

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Preparing for a compliance audit involves several critical steps to ensure that your organization meets regulatory standards and avoids potential penalties. Thorough preparation can also uncover areas for improvement, enhancing overall compliance and organizational performance. Join COMPLY + Wealthbox for a comprehensive webinar on successfully preparing for a compliance audit.

This webinar will cover:

  1. What is involved in a compliance audit
  2. Best practices to prepare effectively for a compliance audit
  3. How Wealthbox can be used to expedite the auditing process
  4. How COMPLY’s RIA in a Box platform can help you stay compliant throughout the year
  5. How the COMPLY and Wealthbox integration simplifies the tracking of compliance tasks and enables firms to effectively prepare for an audit

Speakers

Corrie Scoby

Compliance Consultant

COMPLY

Kate Schaefer

Team Lead

COMPLY

Chris Kopanski

Sr. Product Specialist

Wealthbox


“We are excited to integrate with Wealthbox to provide registered investment advisors with solutions to efficiently run their practice.”

David Bliss

Chief Product Officer, COMPLY