Compliance
Oversight for BD and Asset / Wealth Management
James F. Strickland
Chief Audit Executive
TDBANKNORTH, N.A.
Portland, Maine
This session will explore the compliance and audit oversight activities
for these three related businesses, including coverage strategies,
staffing, coordination, and monitoring and reporting tools. Attendees
will be able to understand the impact of stresses caused by recent
industry turmoil will be explored. Attendees will also learn about
recent high-profile cases and the lessons to be learned for our own
organizations as we continue to strive to achieve maximum effectiveness
of the oversight functions. Two perspectives will be explored: the
processes currently used at TD Bank, and the results of an industry
survey to identify best practices and tendencies currently being used
by FIRMA members and other organizations.
