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.
Learn more about the most current regulatory issues and their impact on organizations like yours.
Download the slides from MyComplianceOffice's August webinar with co-host NorthPoint Compliance, SEC Exam Success with Ex-Examiners. Discover the “do's and don'ts” when responding to a document request list and when being interviewed by SEC examiners, the trends of the SEC’s current examination program, and lessons to be learned from SEC enforcement actions.