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10 Things You Probably Didn't Know About
The SEC's 2021 Exam Priorities
Cybersecurity Workshop - 2020
FIA COVID-19 Survey Results
Financial Services Survey: C-19 Impact
SEC Regulation SCI Audits
Interview - the Life of SCI, 2015
Swap Execution Faciliies Overview
High Frequency Trading Overview
Evolution of U.S. Markets 2000-2018
Case Study: OMS Regulatory Compliance
Case Study: Annual CCO Reporting
Volcker Rule Update - Q2 2018
Inv. Mgmnt. Survey: Hurricane Sandy
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Due diligence reviews - operations and technology
Operational risk management
Development of key risk indicators (KRI)
Business continuity strategies and audits
Annual testing oversight for NFA, CFTC compliance
Regulatory reviews
