In recent years the SFC has increased its investigations and on-site inspections of licensed intermediaries. Facing an inspection by the SFC can be daunting. This course is for Responsible Officers, executives and directors of Licensed Corporations as well as those who advise them. The course will give a comprehensive review of the process involved when market participants face an SFC inspection which may potentially be followed by a disciplinary action.
Preparing for SFC Audits and Inspections
Detailed Information
Highlights of the course include:
- Legal and practical basis for Inspections
- Inspection “trigger events” and activities generally
- Preparation of staff, office and documents
- In-office visit specifics
- Examination topics
- Pitfalls to avoid
- SFC Inspection findings and how to respond
Registration Conditions
To view our registration conditions click HERE.