SEC Exam Readiness: Building Defensible Oversight for 2026 – Smarsh – 3.10.26

January 12, 2024

Overview:

Title: SEC Exam Readiness: Building Defensible Oversight for 2026

Date: Tuesday, March 10, 2026

Time: 1:00 PM Eastern Daylight Time

Duration: 1 hour

Register Now:

Already Registered?

*First Name
*Last Name
*Email
*Work Phone
Cell Phone
*Company
*Title
*State
*Type of Advisor
CFP #
IWI (CIMA, CIMC or CPWA) #
Zip Code for IWI Submission
CFA Institute ID
Please submit any questions for our speakers.

*I am a financial professional. I understand that this event is for financial professionals only, and I may be contacted by the sponsor.

Summary:

Join us for a webcast covering:

What examiners expect to see in your communication oversight controls
How to streamline evidence collection and reduce exam prep time
Strategies to identify and address off channel communication risks
How to ensure AI driven content is properly captured and supervised

Accepted for 1 CFP / IWI / CFA CE Credit

Speakers:

Tiffany Magri Senior Regulatory Advisor Smarsh

As a Regulatory Advisor at Smarsh, Tiffany Magri monitors, evaluates and consults on the financial services regulatory landscape. Tiffany has 15 years of experience facilitating compliance with laws and regulations, policies, and risk management. Prior to joining Smarsh, Tiffany was a Senior Associate at Benefit Street Partners and a Compliance Officer at Broadstone and Manning & Napier Advisors.

Alex Egan Strategy & Consulting of Finance Risk Compliance Accenture

Alex Egan is a former industry regulator and leader in the Finance Risk Compliance strategy and consulting practice with Accenture, where he advises many of the world’s largest financial institutions regarding a variety of risk, regulatory, and compliance matters, including FINRA and SEC obligations.