FollowFollow Although financial organizations have known about operational risk since business began, it’s only been an independent discipline for the last two decades. It still took a financial crisis and the ensuing flood of regulatory and enforcement fines and...
FollowFollow Did you know that well-maintained audit trails indicate a high standard of operational oversight? From the IT staff to top management, effective audit trails call for a company-wide dedication to excellence in compliance management. With the shift away...
FollowFollow After five months of review, the SECΓÇÖs Office of Compliance Inspections and Examinations (OCIE) has released a Risk Alert regarding compliance and process protocols during the era of COVID-19. As the pandemic continues, investment management firms have...
FollowFollow After five months of review, the SECΓÇÖs Office of Compliance Inspections and Examinations (OCIE) has released a Risk Alert regarding compliance and process protocols during the era of COVID-19. As the pandemic continues, investment management firms have...
FollowFollow After five months of review, the SECΓÇÖs Office of Compliance Inspections and Examinations (OCIE) has released a Risk Alert regarding compliance and process protocols during the era of COVID-19. As the pandemic continues, investment management firms have...
FollowFollow Every financial management firm is concerned about risk and efficiency. Not only do these issues elevate a company in the eyes of investors, they also contribute to successful execution and positive strategy outcomes. The tried-and-true approach to...
