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SmartRIA - SmartRIA Compliance Software

2021 SEC Exam Priorities

March 9, 2021 by Mac Bartine Leave a Comment

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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 may focus on other issues during an examination. The Division, which was … [Read more...]

Filed Under: Audit, Compliance Alert, Cybersecurity, News Tagged With: audit, Audit Prep, audit-ready, compliance

5 Ways to Proactively Prepare for an Audit

August 4, 2020 by Amy Easterly Leave a Comment

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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. Be proactive and start to prepare now to feel confident that you’re fully ready for your next exam. The Audit … [Read more...]

Filed Under: Audit Tagged With: audit, Audit Prep, compliance

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