Adherence Compliance Group
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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
What do you do when the SEC calls to notify you that you’re being audited? (more…)
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…
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