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Preparing for an Onsite Inspection from CIMA
April 20, 2017 @ 8:30 am - 12:00 pmCI$300
A hands on seminar on preparing for your next regulatory inspection for CEOs and Compliance professionals.
Expert Panel Discussion – Get real world tips from an interactive panel discussion featuring Jordan Mclean (CIMA Onsite Inspection Unit), Angela Mele (RiskPass), and Sandra Edun-Watler (President of the Compliance Association)
Other senior members of CIMA’s Onsite Inspection Unit including Mr. Kenton Tibbetts, Unit Deputy Head, will also be in attendance.
- Role of Senior Managers and Board members during an inspection
- Role of the Compliance Officers during an inspection
- How to prepare for the inspection
- Typical documentation requests and how to prepare for them
- Having an effective opening meeting with CIMA
- Key do’s and don’ts during the inspection
- The write up period
- Draft findings meeting and report
- The closing meeting
- Developing your implementation plan
- Four types of relationships with the regulator; which one do you have?
**Also featuring a panel discussion and Q&A with compliance experts**
For a full event agenda, click here.
Venue: Seabridge Room, Kimpton Seafire Resort
Registration Fee: CI$300 (US$365.85)
Sign up using the form below