The Keys to Optimizing Your Branch Audit Program
On-Demand recording now available:
Click Here to Download the Presentation Slides.
**It would be greatly appreciated if you would take a moment to complete the survey offered at the end of the presentation. **
The regulators expect that every firm creates a program that is effective and uncovers risks within the firm that could harm investors. The findings need to be meaningful and actionable to avoid repeat offenders in your organization.
Every aspect of your audit program informs your overall compliance structure, from WSPs to training to eliminating high risk individuals or knowing who should be on heightened supervision.
The webinar will cover ways to improve your Branch Audit Program procedures:
- Limit Liability & Risk
- Eliminate Conflict of Interests
- Benefits of Outsourcing - Reduce Expenses
- Focus on Core Business
- and more!
Please note: Continuing Education Credit is not available for this FREE webinar.