8c. IA – Effective Supervisory Programs for Firms (Intermediate)

Regulatory expectations over supervision have evolved over the last few years.  Critical components in determining the reasonableness of a firm’s supervisory structure are very important and vary from firm to firm. Managing and deploying an effective compliance program includes the ability to adapt as necessary to the changing regulatory environments.  This session will look at how to design and implement an effective supervision program considering the ever-changing regulations, and the evolution of technology and available resources.  This session is open to regulators but closed to members of the press.

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