If you haven’t planned for an SEC audit, you should. Why? Because you are likely to face one. Advances in technology and the adoption of a data-centric approach have made it fast and easy for the SEC ...
Shujinko, which makes automated enterprise compliance solutions, has made its SOC 2 audit preparation and readiness portion of its AuditX software available for free. Processing Content The software ...
RIA In A Box, a registered investment adviser (RIA) consulting firm, created its Last-Minute Audit Prep service to provide support and information for RIAs facing an SEC audit. RIA In a Box says that ...
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