Category: Examinations & Audits
Preparing for the Interview Part of the Exam
Overview of the On-Site Component of the Exam
The primary purpose of an exam by OCIE is to ensure compliance, prevent fraud, monitor risk and inform policy.
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Category: Examinations & Audits
SEC Calls
What do you do when the SEC calls to notify you that you’re being audited? (more…)
by Saleemah Ahamed
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Regulatory Exam Prep You Can Do NOW
Ever wondered whether or not you’re prepared if the regulators come knocking on your door? Have you wondered what technology and easy to implement tools are out there to…
by Saleemah Ahamed
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by Saleemah Ahamed
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