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SCCE Compliance Auditing & Monitoring Workshop

Reporting and Corrective Action Plans

10:15 AM CT – 11:30 AM CT

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Learning Objectives:

  • Format and key elements to include in a report
  • Reaching agreement and following up on corrective action
  • Following up on findings and results of auditing and monitoring


Elizabeth Simon
Vice President, Compliance Property Management

View Bio

We are actively monitoring attendance. At random times throughout this session, you will be prompted with a pop-up to confirm that you are still actively participating in the virtual session. You will not see the pop ups if you are in full screen mode or your pop-up blocker is on. In addition, make sure you are disconnected from any VPN as they can also cause interference and that you have a stable internet connection (hard line is always best).Active attendance monitoring is only required if you will be requesting external CEUs for NASBA or CLE credits. If you only need Compliance Certification Board (CCB)® CEUs, it is not required to participate in active monitoring.