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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Conducting Audits training is offered by Quality Compliance Partners. Quality Compliance Partners, Inc. offers training in several topic areas. Our courses are designed to maximize the return on your investment by providing lasting, effective training solutions.
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.
This course will take the mystery and pain out of the process by introducing a methodology called “Closing the Loop Framework”. It provides a foundation for how to develop audit steps based on audit scope and the evidence required to achieve audit objectives.
Wireless technology has become a major enabler for an increasingly mobile workforce and dynamic work environments. This technology creates opportunities for a variety of exploits including unauthorized access and message interception.
This course introduces students to the internal audit profession and process. It is designed for CPAs, CIAs, CMAs; controllers, auditors; financial managers; corporate executives; federal and state auditors.
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