5e. ALL – Performing Robust Testing of Policies & Procedures (Intermediate)

Attendees will learn current trends and practices in testing compliance policies and procedures. Topics will include various testing techniques, sampling methodologies, report construction, and issue remediation and tracking.

Learning Objectives:

  • Develop risk assessments for firms dependent on their size and business model
  • Determine the methods of developing risk-based testing programs
  • Understand how to execute compliance testing programs (sampling, report writing, etc.)
  • Gather techniques for identifying, managing, and tracking issues. Plus understand how and when to escalate issues discovered during the testing process


Sponsored by:

Basic                        Program Level: Date: October 20, 2020 Time: 10:00 am - 11:15 am Dana Schmidt Cathy Vasilev

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(860) 672-0843 info@nscp.org