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The Regulatory Exam Process: How to make it work FOR you
Oyster Stew - A Broth of Financial Services Commentary and Insights
English - January 13, 2023 13:00 - 36 minutes - 25.4 MB - ★★★★★ - 7 ratingsInvesting Business News Business News finra sec regulatory brokerage advisory compliance exchange operations Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
Previous Episode: Protect Your Trade Desk - Risk, Reputation and Regulatory Compliance
How you manage the process of responding to a regulatory exam, whether it is routine exam, a sweep or an investigation can influence how the exam goes, and possibly the outcome of the exam as well.
As part of our series on managing exams and your regulatory relationships, Oyster’s experts provide best practices for managing the process of responding to exam requests.
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