July 31, 2014
Practical Implications of FINRA’s New Supervisory Rules What’s the Important Take-Away? “Document, Document, Document” Important Details for Updating Your Written…
Author: Compliance Solutions Strategies
July 28, 2014
Risk Management: A New Regulatory Regime What Recent OCIE Initiatives Tell Us About the Way Regulators View Risk. Highlighting Risks…
July 8, 2014
Compliance and Cybersecurity What the Chief Compliance Officer Must Bring to the Table Satisfying Regulatory Expectations for Cybersecurity Basic Controls…
May 30, 2014
Since the Madoff Ponzi scheme unraveled, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) has been under the microscope. Wide criticism has…
May 30, 2014
An investment adviser posts a seemingly innocuous comment to his firm’s social networking profile page, congratulating his colleagues on a successful year…
May 30, 2014
In the post-Dodd-Frank regulatory world, investment advisers seeking to meet the expectations of the Securities and Exchange Commission (“SEC”), or of other regulators,…
May 30, 2014
Whether technologically-savvy or not, investment advisers of all backgrounds appear keenly interested in latest industry trend – the migration to…
May 30, 2014
Technology has quickly infiltrated all aspects of our lives. Whether it’s built-in GPS technology in mobile devices or the proliferation of applications…
May 30, 2014
Compliance is a unique and somewhat paradoxical professional responsibility – one that must simultaneously co-exist in a silo of independence…
May 30, 2014
The anniversary filing of the revamped Form ADV Part 1A, which included material changes to the Part 2A brochure, is…
May 30, 2014
Utilizing Change Management to Evidence Monitoring As the SEC arrives to the technology party in a very public manner, investment advisers…
May 30, 2014
The New Security Risk When it comes to mobile devices, investment advisers used to have two choices – either they…