SEC OCIE Compliance
FEATURING BILL SORENSON AND KRIS TUFTO
Want to stick around? Check out these additional resources:
SEC OCIE Compliance Workbook
With the SEC OCIE stepping up audits and bringing forward new compliance requirements, we’re pleased to provide a SEC OCIE Compliance Workbook to help your firm maintain compliance.
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
Our financial IT resources page has everything you need to improve the profitability and security of your firm’s IT: ebooks, research reports, blog posts, webinars and more.