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