Compliance Oversight of Broker-Dealer & Wealth and Investment Management FIRMA’s 23rd National Risk Management Training Conference New Orleans, April 30, 2009 James Strickland, Chief Auditor, TD Bank Compliance Oversight of Broker-Dealer & Wealth and Investment Management INTRODUCTION Session Overview ̶ Industry Survey overview ̶ Risk coverage/structure of oversight functions ̶ Resources/tools in independent oversight functions ̶ Coordination/interactions by risk oversight functions