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Regulatory requirements, logistics and challenges of conducting an effective field audit programme

Author

Listed:
  • Hooks, Jim

    (Managing Director and Chief Compliance Officer, Private Advisor Group, USA)

Abstract

This paper reviews internal compliance examinations for broker-dealers and investment advisers in the light of emerging work trends and regulatory guidance stemming from the coronavirus pandemic. It pays special attention to internal compliance practices, the use of technology and staffing needs before examining factors for firms to consider in determining whether to conduct internal examinations remotely or on-site. It pays particular attention to branch-office examinations. The paper concludes that the most successful firms in adapting to changing workplace conditions and regulatory guidance not only will remain at the forefront of compliance but also can drive their own business forwards.

Suggested Citation

  • Hooks, Jim, 2021. "Regulatory requirements, logistics and challenges of conducting an effective field audit programme," Journal of Financial Compliance, Henry Stewart Publications, vol. 5(1), pages 55-65, June.
    • Handle: RePEc:aza:jfc000:y:2021:v:5:i:1:p:55-65
    as

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    More about this item

    Keywords

    compliance programme; audit; inspection; examination; branch exam;
    All these keywords.

    JEL classification:

    • G2 - Financial Economics - - Financial Institutions and Services
    • E5 - Macroeconomics and Monetary Economics - - Monetary Policy, Central Banking, and the Supply of Money and Credit
    • K2 - Law and Economics - - Regulation and Business Law

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