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.
I Want To Know More About…
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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You are Due:
Do you kind of know you are “due” for an SEC audit?
Have you been dodging dealing with this because your “day job” of running your firm gets in the…
by Saleemah Ahamed
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by Saleemah Ahamed
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