FIC Onsite Visits – What Advisors Need to Know скачать в хорошем качестве

FIC Onsite Visits – What Advisors Need to Know

As regulatory scrutiny continues to increase, it is essential for advisory practices to remain prepared, compliant, and confident when engaging with the FIC. This session distills key learnings from recent FIC onsite visits and official FIC webinars, providing you with actionable guidance to strengthen your compliance framework. What you can expect from this session: • Key observations and recurring themes from FIC onsite inspections. • Common compliance gaps — and how to avoid them. • Practical steps to ensure your practice is audit-ready • Guidance on documentation, risk management, and reporting obligations. • An opportunity to enhance your regulatory knowledge while earning CPD hours.