2f. BD/IA – Branch Inspection Program (Intermediate)


This session will focus on the regulatory requirements, logistics and challenges of conducting an effective field audit program. This session will also cover FINRA guidance concerning branch inspections, methods for scheduling and tracking branch audits, and the finer points of staffing and managing a field audit team.

Learning Objectives:

  • Understand FINRA’s guidance and expectations, including documentation and frequency of inspections
  • Determine how to assess the need for off-cycle, risk-based, and unannounced audits
  • Discuss scheduling, logistics, remote audit practices, reporting and metrics
  • Learn best practices for interviewing, hiring, training and retaining a field audit staff

 

Sponsored by:

Intermediate                        Program Level: Date: October 19, 2020 Time: 11:45 am - 1:00 pm Ken Bell Jim Hooks

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For More Information, Contact Us:

(860) 672-0843 info@nscp.org