2014 National Examination Priorities
On January 9th, the SEC published it's National Examination Priorities for 2014. On the top of their list - Fraud Detection and Prevention, Corporate Governance, Conflicts of Interest, Enterprise Risk Management, Technology and issues specific to Dual Registrants.
Now is a good time to review these priorities vs. your organization's current control environment, policies and procedures and discrete risk management activities. Read more:Â https://ow.ly/sLwgd
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Anti-money laundering (AML) compliance has long been a foundational obligation for broker-dealers and a growing […]
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Artificial intelligence and automated decision tools are rapidly becoming embedded in the operational and compliance […]
