The presentation will include the types of audits that could occur.
What happens when you receive an audit off shore vs. within the US. How do you prepare for these audits? What must be done prior to the audit? What happens during the audit? What happens after the audit? How do you respond? What happens differently if a consultant is involved?
Why you should Attend: Why attend? The biggest fear that we have is undergoing a regulatory audit. What will they find? Will they find something that we overlooked? Could what we overlooked cause us to lose our ability to work in this industry? So what can we do to prepare for the audit, how can we ensure a smooth audit, and what happens after the audit.
Areas Covered in the Session:
Audit requirements for the Auditor
Audit requirements for the Firm
Specifics on regulations for the audit
Do's and Don't's during the audit
Who Will Benefit:
- Regulatory Affairs
- Supply Chain
• Regulatory Affairs
• Supply Chain