Want to stick around? Check out these additional resources:
SEC OCIE Compliance Webinar
View the recording of this informational webinar where we review the SEC OCIE compliance workbook and walk through what your firm can do to better prepare for a situation when an audit does occur.
SEC OCIE Compliance Review Plan
As a follow-up from the SEC OCIE Compliance Workbook, we have developed a straight-forward task list and base plan for you to work through the items. This plan provides you talking points and activities to help you confirm your current compliance.
Financial IT Resources
Get access to our complete library of financial IT resources and learn more about how you can turn your firm’s IT from a headache to a strategic business advantage.