Completing the Risk Assessment Questionnaire (Session A: Webinar)
May
30, 2016
02:00 pm
-
04:00 pm
Online webinar
Event Details
This seminar will assist registrants in completing the 2016 Risk Assessment Questionnaire (RAQ). The RAQ is a useful tool in identifying high risk areas of a registrant’s business and assisting CRR staff in executing its risk-based approach to compliance field reviews. The seminar will touch on frequently asked questions and walk participants through areas of the RAQ which have been challenging for registrants in the past.
Who should attend:
Individuals who will be involved in the completion of the RAQ for their registrant firm.
Benefits:
Understand the purpose of the RAQ, staff’s expectations for completing the RAQ and make the completion process more effective and efficient for your firm.
Documents:
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