March 9, 2021
On March 3, 2021, the SEC’s Division of Examinations (Division) published its examination priorities for the year. These priorities are the driving force behind the Division’s examinations but are not exhaustive. Examiners […]
August 4, 2020
An upcoming audit often causes sleepless nights for even the most capable professionals. With an increase of SEC exams, it’s not a question of if your firm will be audited but when. […]
July 28, 2020
Compliance. It’s tedious, complex, and confusing, especially with regulatory changes and at least yearly changes in exam focus. However, compliance is essential to the success of your firm. Investing in compliance software […]
