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Feedback sought on impact to firms' operations and business models and the effectiveness of BCPs
OCIE’s recent risk alert on branch office businesses may well offer some lessons to the broader industry, a top regulatory lawyer tells RCW. The risk ...
"The disclosures to date have varied in the extent to which they discuss the effect of COVID on their operations, financial condition, and expectations of ...
When the pandemic arrived and marketplace, supply chain and other disruptions began, having a principles-based disclosure regime meant that we already had the rules in ...
Some CCOs instruct remote employees to call with questions or concerns rather than to commit their issues to writing via e-mail or instant messages, which ...
Ask your IT vendor to do more penetration and vulnerability assessments during the pandemic, recognizing that cyber bad guys have been quite busy lately
Four CCOs with tips to help you while working remotely. Video runs 5:20
OCIE examined 15% of SEC-registered IAs in fiscal year 2020
It's has been a chore to lure an accountant in for a surprise exam in this year of the pandemic
We require our registrants to disclose both the good and the bad news and, in that vein, it is appropriate for me to note that ...
