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SmartRIA - SmartRIA Compliance Software

2021 SEC Exam Priorities

March 9, 2021 by Mac Bartine Leave a Comment

complianceAlert-1

On March 3, 2021, the SEC’s Division of Examinations (Division) published its examination priorities for the year. These priorities are the driving force behind the Division’s examinations but are not exhaustive. Examiners may focus on other issues during an examination. The Division, which was … [Read more...]

Filed Under: Audit, Compliance Alert, Cybersecurity, News Tagged With: audit, Audit Prep, audit-ready, compliance

Why You Should Invest in Compliance Software

July 28, 2020 by Amy Easterly Leave a Comment

Blog Post (2)

Compliance. It’s tedious, complex, and confusing, especially with regulatory changes and at least yearly changes in exam focus. However, compliance is essential to the success of your firm. Investing in compliance software will save you time, money, and stress in the long run. Choosing the … [Read more...]

Filed Under: Software Tagged With: Audit Prep, audit-ready, compliance, compliance software

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