All About Audit Trails: What You Need to Know
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...
OpsCheck Spotlights Covid Needs: Business Continuity (5/6)
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...
OpsCheck Spotlights Covid Needs: Personnel Supervision (2/6)
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...
OpsCheck Spotlights Covid Needs: Investor Asset Protection (1/6)
FollowFollow After five months of review, the SEC’s 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...