5f. ALL Lab – Testing the Written Policies & Procedures Lab (SPACE IS LIMITED)

Attendees will learn current trends and practices, in writing and testing compliance policies and procedures. Topics will include which policies to have, the various testing techniques, sampling methodologies, report construction, and issue remediation and tracking. Additionally, attendees can expect to take away various templates for use in the testing programs within their firm.
Advanced Preparation: None
Pre-requisites for participation: None
Learning Objectives:
• Participants will learn to develop risk assessments for firms dependent on their size
• Determine the methods of developing risk-based testing programs
• Understand how to execute compliance testing programs (sampling, report writing, etc.)
• Gather techniques for raising, remediating, and tracking issues. Plus understand how to properly “close” issues.

Sponsored by:

Lab                        Program Level: Basic Date: October 22, 2019 Time: 9:50 am - 11:05 am Barbara Boehler Elton Chan Stephanie Mumford