4d. ALL – LAB -Regulatory Exam Preparation


Compare and exchange ideas with peers on the most efficient and effective practices for regulatory exam preparation. Openly discuss the record production process, interview tips, disastrous pitfalls to avoid, responding to findings and deficiencies and who these should be communicated to. Ensure review of regulatory exam priorities and how it applies to your firm’s business activities.
Learning Objectives:
• Discuss helpful hints in preparing for the examination, including “first day” meetings, rules of the road for firm staff, and communications protocols during the exam
• Analyze recent regulatory document request lists, previous deficiencies, risk alerts and leverage industry peers; develop process and controls for production of requested records.
• Manage risks during the exam, including supplemental requests, onsite interviews, and material findings
• Addressing post-exam issues, such as supplemental requests, managing the deficiency letter response process while maintaining regulatory goodwill

Intermediate                        Program Level: Lab Date: November 8, 2021 Time: 3:30 pm - 4:45 pm

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