We map a typical inspection over the eight stages of a 90 day plus timeline, from initial notification through to final report and remediation implementation, and lay out the first 48 hours playbook, including how to stand up a task force, build a 'data room' of supporting documentation, and communicate transparently and proactively with the supervisor. Recent fines are worked through as case studies (Keva, GlobalReach Multi-Strategy ICAV, Banca Sella, Invesco), alongside the anatomy of an optimal reporting system covering decision documentation, system architecture, change control and continuous audits. We also share a six step back reporting framework (review and remediate, back report, exception management, reconciliation, MI, ongoing monitoring) and the global regimes coming next, including ASIC, MAS, MiFID III, CFTC Rewrite Phase 2 and HKMA. A strategic read for COOs, CCOs and heads of audit.
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