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Testing, Testing and More Testing
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Testing, Testing and More Testing
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Narrated by:
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Written by:
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 obligation
- Written 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 plan
FINRA Guidance on Supervision Topics
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