Principles of good supervision
Our March 2016 webinar, on the principles of Good Supervision in Compliance with MyComplianceOffice and presenter Kate Virmani of Virmani Consulting highlights the principles of good supervision, the pressures on compliance in the context of failure to supervise, and what today's Compliance Officers can do to reduce their exposure to failure to supervise claims. Watch here as Kate Virmani discusses the role of compliance in Supervision.
- Discussion on the Role of Compliance in Supervision (1:40)
- Case Study in supervisory weakness and red flags (13:52)
- What is Supervision and the Regulatory Landscape (3:39)
- Discussion of polling of compliance professionals around WSPs (1:48)
- Q&A on Compliance Supervision (3:15)
- Suggestions on Good Compliance Supervision (4:30)
You can access the slides from this webinar here
