Since the late 1990s, the U.S. securities industry has utilized the Order Audit Trail System (OATS) to simplify an order’s progression from its initial receipt to its eventual execution or cancellation, for tracking or auditing purposes.
DurationSince the late 1990s, the U.S. securities industry has utilized the Order Audit Trail System (OATS) to simplify an order’s progression from its initial receipt to its eventual execution or cancellation, for tracking or auditing purposes.
However, the SEC has released a plan to replace OATS by establishing a Consolidated Audit Trail (CAT), one of the world’s largest data repositories that will contain a complete record of all equities and options traded in the United States. This module will examine SEC Rule 613 and FINRA’s Rule 6800 Series which provide details of the provisions and terminology related to the CAT system.
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Advanced Auditing for Employee Benefit Plans contains mock audit case studies and advanced learning exercises related to planning, performing, and evaluating defined contribution, defined benefit, and health and welfare plan audits.
You’ll explore the various divisions within the DIR, with a specific focus on the DWC and its constituent units, including information and assistance officers, the Disability Evaluation Unit, the Medical Unit, and Audit Unit.
AS9100D Internal Auditing training is designed to provide a working understanding of a quality management system based on the requirements of AS9100D.
There continues to be significant growth in litigation claims that have expanded throughout most segments of society. In particular, most major professions have seen increases in claims at an exponential level.
How we interact with others is essential to having healthy relationships with audit clients. Having good 'people skills' is a cornerstone of business success. People work harder and better for those who communicate well with them.
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