Audits, Investigations, and Market Conduct Exams | CDD

by | Aug 29, 2019

Welcome to Compliance Dos & Don’ts, where experts share their licensing and compliance knowledge.  Today, former regulator and corporate attorney Kay Godfredsen shares her dos and don’ts for market conduct exams.  Her secret for success: Make sure you understand the scope and goal of the investigation.  And don’t make assumptions about the regulator knows (or doesn’t know) about your business process.

And if you only learn one thing from this podcast, let it be this: Don’t overpromise the investigator or regulators about response times or what information you can deliver.

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