Understanding and Reducing Operational Risk
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...
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...