Course Summary

Duration1 hour

PresenterGarret Wynne

Course Details

An overview of the key stages in preparing your firm for a monitoring visit.  This course will cover what whole firm matters are tested as part of a monitoring visit while identifying key requirements and weaknesses on audit files to help you prepare your firm for its upcoming monitoring visit.

  • Overview of Regulatory Framework
  • Selection for a Monitoring Visit and Institute Focus
  • Opening Meeting and Whole Firm Review
  • Cold File Reviews and Key Areas of Focus
  • Closing Meeting and Visit Close Down

 

Presenter: Garret Wynne – OmniPro