Name: Adherence Compliance Group
Address: 220 W. 93rd Street, #8C, New York, NY, 10025, US
Telephone: +1-917-885-2596

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.

by Saleemah Ahamed

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