Reporting Requirements for Insurance, Mortgage, Investment Brokers and Auctioneers (Mar 23)
Category: Law Regulation and Compliance | Duration: 1hr | Tag: VODIRE2314 | Type: Video | Speaker: Colm Owens, Lindsay Webber | Date: 02/03/2023 11:30
In this session we look at the particular requirements of auditing and reporting on regulated entities. Through our experience we have identified the key audit requirements and key areas of weakness when dealing with regulated entities. Regulated entities are of key focus in any monitoring visit and it is important that reporting requirements are met to ensure compliance. It is important that firms have the competency to undertake work on regulated entities.
Colm Owens and Lindsay Webber cover the following topics during this session:
Colm Owens
Lindsay Webber