As regulatory expectations evolve, firms must ensure their branch office inspection programs are not only compliant, but also effective in identifying and mitigating risk.
Watch our on-demand webcast to explore lessons learned from recent inspections and actionable strategies to strengthen your program.
Topics Discussed
- Regulatory requirements: Understand the framework and expectations that are driving branch office inspections.
- Tailoring the scope: Learn how to define an inspection scope based on risk, business models, and regulatory focus.
- Inspection methods: Explore best practices for remote versus onsite inspections, sampling techniques, and documentation.
- Common findings: Discover recurring deficiencies and what they reveal about control gaps.
- Execution challenges: Navigate logistical, resource, and compliance hurdles in today’s dynamic environment.
- Remediation strategies: Implement effective approaches to address findings and enhance compliance.
- Lessons learned: Gain forward-looking insights to improve future inspections.
Speakers
- Francois Cooke, Managing Director, ACA Group
- Patrycja Savignano, Director, ACA Group
- Jamie Shields, Deputy Chief Compliance Officer, Mesirow Financial Investment Management, Inc.
- Daniel Wright, SVP, Chief Compliance Officer, Alliance Bernstein
- Andrew Mount, Counsel, Eversheds Sutherland