OpsCheck Testimonial: Mark Ford
FollowFollow Before taking advantage of OpsCheck, everything at ViewTrade Securities required a meeting. Whether in their offices in southern Florida or northern New Jersey, managers met with their teams to assign tasks. Teams met with each other before reporting...
A Solid Compliance System Mitigates Risk
FollowFollow Does your company have an integrated compliance system in place? In today’s rapidly evolving business environment, compliance management is essential for ongoing success. Compliance is a multi-faceted issue, depending on the industry, but most...
All About Audit Trails: What You Need to Know
FollowFollow Did you know that well-maintained audit trails indicate a high standard of operational oversight? From the IT staff to top management, effective audit trails call for a company-wide dedication to excellence in compliance management. With the shift away...
OpsCheck Spotlights Covid Needs: Fees, Costs, Financial Transactions (3/6)
FollowFollow After five months of review, the SECΓÇÖs Office of Compliance Inspections and Examinations (OCIE) has released a Risk Alert regarding compliance and process protocols during the era of COVID-19. As the pandemic continues, investment management firms have...
Keeping Your Legal Process Transparent and Consistent
FollowFollow Having a comprehensive legal framework at an asset management firm will ensure a consistent approach to documentation, transparency for auditors and investors, and reduce liability issues. TodayΓÇÖs Investors are Savvy TodayΓÇÖs investors have...