Case Study in supervisory weakness and red flags
Our March 2016 webinar, on the principles of Good Supervision in Compliance with MyComplianceOffice and presenter Kate Virmani of Virmani Consulting.Highlighting 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 case studies in compliance supervisory weaknesses and red flags businesses should look for.
Kate is the owner of Virmani Consulting, a financial services consultancy firm providing practical compliance solutions to meet today`s business challenges. With 18+ years of Compliance experience at top tier firms, she has led global compliance teams covering investment banking, capital markets and research as well as central compliance and compliance education.
You can download a full copy of the slides from this webinar.