The SEC Division of Examinations, formerly known as the Office of Compliance Investigations and Examinations (OCIE), provided a discussion of key risks and trends in its 2021 Examination Priorities document.
Know Your Risk
The MyComplianceOffice platform provides a unified approach to Conduct Risk. Identify and mitigate potential conflicts from the activities of employees, third parties and the company.
Know Your Employee
Know Your Third Party
Know Your Transactions
Regulatory Concerns
Learn more about the most current regulatory issues and their impact on organizations like yours.
