9b. ALL – Performing Robust Testing of Policies & Procedures


Learn current trends and practices in testing compliance policies and procedures. Topics will include various testing techniques, sampling methodologies, report construction, issue remediation, and tracking.
Learning Objectives:
• Develop tailored risk assessments for firms based on size and business model
• Determine the methods of developing risk-based testing programs
• Understand how to execute compliance testing programs, including within remote and hybrid
work environments
• Explore techniques for identifying, managing, tracking, and effectively communicating issues
• Understand how and when to escalate issues

Sponsored by

Intermediate                        Program Level: Panel Date: November 10, 2021 Time: 9:00 am - 10:15 am Amber Allen Elton Chan Jodie Crotteau

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