Secondary

Compliance Officer Presentation

The FSB’s presentation for compliance officers provided a lot of practical insight and advice. Whether you are an external or internal CO, there is a lot of food for thought and consideration on how you currently conduct your supervision obligations.

The Agenda covers the following topics:

  • Reporting – reporting to the FSB and the FSP, compliance reports
  • Independence and Objectivity of COs
  • Irregularity Reporting – material versus non-material breaches
  • CO Registration Issues
  • Monitoring responsibilities of the CO, both internal and external, as well as those who monitor juristic representatives
  • Feedback from Onsite Visits

The broadcast is essential viewing as an annual refresher for all compliance officers, whether internal or external.

If you were not able to attend, you can order a copy of the DVD by clicking here.

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