5h. BD - Remote Auditing and Supervision Talk Group (CLOSED)

In a facilitated discussion, attendees will engage in discussion on topics such as eligibility criteria for remote inspection, audit pre-work and supervisory best practices (review of data, reports, communications), inspection process, technology options, frequency, and evidence of supervision and how to close-out/escalation protocols.  Attendees are encouraged to share their experiences and learnings within this talk group. This session is not eligible for continuing education credits. Seating is limited. 

This session is closed to both regulators and members of the press.


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5g. IC – Investment Company Regulation: Current Issues (Intermediate - OPEN) 

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5i. IA - Institutional Firms Talk Group (CLOSED)