Current SEC document request letters reveal the importance of one item in particular: your firm’s risk inventory. Enterprise Risk Management continues to be a focus of examiners, who are asking to meet with more and more individuals at your firm during examinations, and are seeking information about risks that go beyond the compliance function. Find out what the SEC is looking for when it requests your firm’s risk inventory, and how you can prepare a risk matrix to address compliance, financial, technology, and operational risks.
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- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
- Compliance Considerations for Dual Registrants
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