Regulators expect registrants to periodically perform and document a risk assessment. This session will provide attendees with an understanding of the importance of defining compliance risks and the need to routinely assess and reassess compliance programs in light of significant regulatory or business events and firm changes.
- Understand how regulators and the industry arrived at current practices for utilizing and applying risk assessment programs.
- Review risk assessment, framework, methodologies and practices
- Discuss realistic processes for risk qualification and quantification
- Explore common issues that hinder effective risk programs
- Building Core Competencies – BD & IA Training for New Compliance Professionals
- Date:April 30, 2019
- Time:1:15 pm
- Event:Chicago – 2019 Spring Conference