Course 2 – Inspection Tips & Insights into the Approach of Regulators
13 Jul, 2021 |
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Summary of Course 2 – Inspection Tips & Insights into the Approach of Regulators
This summary is provided for the benefit of the British Virgin Islands Association of Compliance Officers (BVIACO) in July, 2021. Information provided below does not supersede the Policy Document, a copy of which is also provided.
The course – Inspection Tips & Insights into the Approach of Regulators – is a hybrid of text and PowerPoint presentations that provides useful tips and actionable steps for financial services professionals to consider and take to prepare for future inspections. The course is immediately available upon purchase. For clarity, there are no live sessions.
Professionals will continue to have access to the materials for approximately 3 months and possibly more. However, this access is determined by the number of new registrants.
Be ready for an inspection without having to go through one!
What you get…
- A condensed course that provides helpful tips to prepare for a regulatory inspection.
- Insight into the approach of regulators in conducting inspections.
- Possible actions that a financial services firm can take in certain inspection scenarios.
- Measures that can be taken to improve a firm’s readiness for a regulatory inspection.
COURSE 2: Inspection Tips & Insights into the Approach of Regulators.
What it contains?
- 4 Modules providing context on the inspection process.
- Actionable steps to better prepare for inspections.
- Possible solutions to difficult inspection scenarios addressing potential issues that can derail an inspection.
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