Risk Management: A New Regulatory Regime

Risk Management: A New Regulatory Regime
What Recent OCIE Initiatives Tell Us About the Way Regulators View Risk.

  • Highlighting Risks and Issues the Staff Has Identified
  • Where Regulators Will Probe, Test, and Ask Questions During Exams
  • Factors to Consider to Assess Risk
  • What are the Systems Used for Risk Management, Compliance,and Supervisory Controls?
  • Making Appropriate Changes to Address or Strengthen Controls: Self-Correct
  • Importance and Effectiveness of Training
  • Role of Technology, Documentation and Testing
  • Responding to Unexpected Risks, Enhancing Your Risk Program

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