Preparation for SEC Examinations: Preparing for New Exam Approaches

Preparation for SEC Examinations: Preparing for New Exam Approaches

  • What’s New with OCIE Document Requests
  • Understanding Implications of New 2015 Exam Priorities
  • Reading Between the Lines: NEAT, and TCR (Tips, Complaints & Referrals)
  • Sharpening Tools: Risk and Examinations Office (REO)
  • How the Role of Data Analysis and New Tools Can Affect Your Exam

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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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