(Recorded May 21, 2015)
Done. Check. You have completed your annual review to gauge the effectiveness of your supervisory system and confirm it is reasonably designed to detect violations and weaknesses in internal controls. Now what? Well, this is the perfect time to conduct a post mortem so that you can breathe new life into your next review.
View this recording and hear securities compliance experts Matt Dwyer and Steve Taylor, along with David Thetford, delve into essential internal controls, compliance testing essentials and documentation procedures within the structure of a "real-world" practical compliance program.
During this informative session, they suggest strategies for conducting annual compliance reviews and highlight: