The very core of effective supervisory procedures is a good branch-office inspection program. Well-conceived systems and inspection processes means never having to hear or read: failed to supervise…failed to identify…or should have known.
Download this free whitepaper from SmartPros to learn best practices for compliance with branch-office inspection requirements, and proper tracking and remediation for any found issues.
STEP 1: Enter your information in the form below, and click “Download Now.”
STEP 2: You will receive an email from Kaplan Financial Education with a link to the whitepaper.
STEP 3: Click the link in your email to access your free whitepaper.