November 9, 2015
Investment advisory firms and related individuals provide “disciplinary disclosures” to the public and the regulators though registration and reporting filings,…
Author: Compliance Solutions Strategies
September 17, 2015
Regulatory Concerns for Data Loss Prevention How confident are you in your firm’s information technology controls to prevent privacy breaches?…
September 17, 2015
50 Due Diligence Questions to Ask Your Cloud Services Provider You’ve made the decision to use cloud-based services. Selecting the…
August 4, 2015
In the financial services world, we frequently hear the mantra that advisers, as fiduciaries, have an obligation to seek “best…
April 30, 2015
It’s Monday morning. You’ve barely had time to set your coffee down on your desk and pull up your email…
September 11, 2014
The breadth and destructive force of Hurricane Sandy, which in October 2012 spread across 15 states as the largest Atlantic…
September 2, 2014
When people think of an Investment Adviser, their first notion would likely be of the trading desk. The desk is…
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…