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.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- The Importance of Effective ADV Disclosure: Staying Ahead of the Regulators
- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
Recent ComplianceCast™ Minutes