Download our summary here:
How do regulators notify us of an exam?
What information do they request?
How do I form a plan of action to respond?
Who communicates with examiners?
Will there be deadlines?
What if I have questions on the request?
How do I ensure the regulators know my business?
Who should present our business to exam team?
How much information should I give the regulators?
Will I know if the exam team has exceptions?
Are all deficiencies “bad”?
Can I respond to issues or findings?
Are there hot topics of regulatory findings?
Is my firm high-risk?
Are there different types of exams?
What are the regulators focusing on?
How does my firm know the focus areas?
How can my firm get ahead of the new regs?