Compliance and Regulatory Consulting
Local and global compliance expertise for the financial services industry.Compliance and Regulatory Consulting
Chris Lombardy, Managing Director and Head of U.S. Compliance Consulting, was featured in Corporate Compliance Insights. In his article, "How Defensible Is Your Compliance Approach?" Chris discusses the SEC Office of Compliance Inspections and Examinations’ (OCIE) 2019 Examination Priorities and the compliance-related complexities for SEC-registered firms.
Chris outlines the key areas in OCIE examinations and highlighted topics such as developing operational policies and procedures, creating a risk-based matrix of necessary activities, complete with scheduled start and end dates and communicating and collaborating throughout the enterprise.
Read the full article here.