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Assess your policies and procedures and improve your RIA and fund compliance programs based on recent SEC observations from exams in the RIC initiatives.
by John Williams
Director of Compliance Services at Joot
The Securities & Exchange Commission recently issued a Risk Alert to share some of the observations that the Office of Compliance Inspections & Examinations (OCIE) have seen during the COVID-19 pandemic.
Foreword by Dina Tantra:
As we all continue to navigate the choppy waters of the global pandemic, managing and mitigating risk is yet another cause for sleepless nights. Our guest blogger, Charlene Aldridge, CEO of Aldridge, Kerr & Associates, helps us to approach this through "Doable, Chewable Chunks
®." Charlene walks us through the way to identify, evaluate, prioritize and mitigate risk. Charlene's boutique firm assists clients with operational needs through optimizing process and procedures.
