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SCCE Compliance Auditing & Monitoring Workshop

Welcome & Announcements

9:00 AM CT – 9:05 AM CT

Introduction and Expectations for Compliance Auditing & Monitoring

9:05 AM CT – 10:00 AM CT

Learning Objectives:

  • Understand where auditing & monitoring fit within an effective compliance & ethics program
  • Identify legal and regulatory expectations for auditing and monitoring
  • Identify and apply useful frameworks for auditing and monitoring


James Rose
Managing Director, SunHawk Consulting LLC

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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.