Risk Management: A New Regulatory Regime

Risk Management: A New Regulatory Regime
What Recent OCIE Initiatives Tell Us About the Way Regulators View Risk.

  • Highlighting Risks and Issues the Staff Has Identified
  • Where Regulators Will Probe, Test, and Ask Questions During Exams
  • Factors to Consider to Assess Risk
  • What are the Systems Used for Risk Management, Compliance,and Supervisory Controls?
  • Making Appropriate Changes to Address or Strengthen Controls: Self-Correct
  • Importance and Effectiveness of Training
  • Role of Technology, Documentation and Testing
  • Responding to Unexpected Risks, Enhancing Your Risk Program

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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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