Name
Case Study: Firm audits of your representatives are a “must-have” for compliance departments.
Date & Time
Thursday, February 22, 2024, 1:45 PM - 2:20 PM
Description
Firm audits of your representatives are a “must-have” for compliance departments. How does your firm approach the audit mandate? What tools are you using to support your audit efforts? How do you manage attestations? What are the pitfalls of audits that open the door for potential exposure that need to be closed. Are your processes documented? What works? What does not work?