Intermediary Oversight and the Role of the Financial Intermediary Controls and Compliance Assessment (FICCA) Webinar
The Investment Company Institute (ICI) hosted a one-hour webinar on Intermediary Oversight and the Role of the Financial Intermediary Controls and Compliance Assessment (FICCA) on Thursday, March 20, 2014. This webinar provided participants with timely information about FICCA engagements and the opportunity to engage in an interactive Q&A with the speakers.
- A timely recap of the history of the FICCA framework and a discussion of recent developments and enhancements
- Fund experiences to date with FICCA reports
- The auditor viewpoint: working with intermediaries to complete FICCA engagements
- Stuart Bateman
Senior Vice President
Franklin Templeton Investments
- Martin Burns
Senior Director, Operations and Distribution
Investment Company Institute
- Kevin W. O'Connell
This webinar was closed to the media.