The Power of an Internal Control Repository:
Generating Audit and Compliance Efficiencies
Eric Dyer, Senior Associate
Beacon Consulting Group
MFSC Risk Management and Operations
Jeff Davis, Senior Manager
Ernst & Young LLP, Financial Services
In today’s demanding regulatory environment, organizations are subject to numerous audits, reviews and regulatory requirements. Often these audits have a cross-functional scope resulting in duplication of efforts and imposing operational inefficiencies. Additionally, these audits provide a varying degree of coverage over 38a-1 & 206(4)-7 requirements, but are rarely leveraged appropriately. This webinar will focus on how some fund companies and investment advisors are leveraging their preexisting audit reports to meet the requirements of various regulatory mandates, including 38(a)-1 & 206(4)-7, to generate operational efficiencies.