risk assessment

Managing Vendor Risks: Implementing an Effective Third-Party Due Diligence Program – <i>Part 1 of a 3-Part Series</i>
Exclusively for NAIC Members: ICS Group Offers Complimentary Mock Exams
The SEC expects to increase the number of investment adviser examinations in 2016. The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) is also increasing the number of examiners by almost 20% this year...