Speaker: Michelle Jacko
Topic: "Regulatory Exams: Best Preparations"
Attendees will learn how to best prepare for a regulatory exam, including reviewing recent request lists, interview tips, record productions and responding to findings and deficiencies.
• Recognizing the different types of exams being conducted, the regulators’ priorities/exam focus, where that intersects with your firm’s business or potential vulnerabilities, and then where to focus your efforts
• Analysis of recent regulatory document request lists, understanding who has and where the information responsive to those requests resides within your organization, determining when you can customize reports and when not. Gathering your team and managing the response process
• On-site exam: what is your approach and who should attend… is counsel necessary… should the CCO be present for all interviews
• Mitigating issues which arise in the course of the on-site exam, managing the close-out interview, and responding to a deficiency letter