Ever wondered how to turn a regulatory exam into a strategic advantage? Join our discussion (Part 1 of 2) with former regulators Patrick Dennis, Evan Rosser, Ed Wegener, Jeffrey Hiller and Bill Reilly as they share their insights into what regulators consider when they come in to do exams, the art of managing document request lists, and how to enhance your firm’s credibility.
In this episode we'll explore:
- The shift in the role of risk analysts and how their insights are reshaping the scope and frequency of firm evaluations
- The various types of exams, from routine to for-cause and sweep exams
- The art of managing comprehensive request lists
- Why having a single point of contact for regulators within your firm is important
- How proactive communication and self-reporting enhances your firm’s credibility while fostering a collaborative relationship with regulators
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