Conference Materials


In-Conference Seminar: Preparing for & Managing a Regulatory Exam

Tuesday, April 29, 2014 2:30 PM - 4:30 PM


Deborah Austin

Senior Vice President, Fiduciary Compliance Director
San Diego, California

Speaker Bio
Jeffrey S. Kropschot

Kropschot Consulting Partners

Speaker Bio

Session Description

Whether you are a veteran or a rookie, the prospect of an impending regulatory examination can flood your mind with fear and anxiety. The best way to alleviate these stresses is to be prepared. In this session, you will learn best practices to properly prepare for a regulatory examination and effectively manage the process while the regulatory team is onsite at your institution. You will also learn steps to take after the examination to address and resolve all findings, as well as foster an ongoing, collaborative dialogue between you and your regulator.