On April 7, 2020, the SEC's Office of Compliance Inspections and Examinations (" OCIE ") issued two risk alerts regarding the expected scope and content of initial examinations for compliance with ...

Research personnel must complete the Process Risk Assessment form using the above matrix to determine the initial risk level. Medium and high risk levels must be re-evaluated to reduce the risk to an ...

The results of the Herrick School District’s Annual Initial Risk Assessment report were discussed at the Oct. 24 school board meeting, detailing the internal controls of Herricks schools; where ...