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Listen "Testing, Testing and More Testing"
Episode Synopsis
Listen in as TRADEliance discusses considerations for a robust Testing Plan.Drink every time we say testing…. No, not really, don't do that!We encourage firms to create a testing plan that goes beyond a 3120/206-7 testing obligationWritten Supervisory Procedures vs Supervisory Controls Procedures Testing samples should be targeted and random and targeted Think of testing vendors, systems and data as three of the pillars that will support a thorough testing planFINRA Guidance on Supervision TopicsSupport the show
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