Regulatory Requirements, Logistics and Challenge of Conducting an Effective Field Audit Programme

The way that financial services works is changing rapidly. Unlike many industries that undergo rapid change, financial services are highly regulated and must consider those aspects of its business when accommodating change. The ongoing coronavirus pandemic has heightened awareness of these concerns, especially where remote offices are involved. In the light of the upheaval of established norms, this paper will examine considerations involving the design and management of the branch exam programme and the process of conducting the branch exams.

Read this article featured in the Journal of Financial Compliance (Volume 5, Number 1), originally published in the Henry Stewart Publications, discussing “Regulatory requirements, logistics and challenges of conducting an effective field audit programme” here.

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