This timely session will provide you with guidance on what the regulator is looking for during an assessment and how to establish a defensible compliance program that makes the grade.

Distinguished Session Speakers:

Sandeep Sharma

Sandeep Sharma
Wells Fargo

Asad Rauf

Asad Rauf
Vice President & Chief Compliance Officer
SBI Canada Bank

Session Highlights:

  • Understanding how risk assessment methodologies are applied by regulators
  • Assessing the impact of the regulations related to the PCMLTFA on your compliance program
  • How to prepare examination materials
  • Operationalizing lessons from positive and negative exam results