May 30, 2014
Compliance is a unique and somewhat paradoxical professional responsibility – one that must simultaneously co-exist in a silo of independence…
Author: Compliance Solutions Strategies
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…
May 30, 2014
New product offerings continue to proliferate as Wall Street strives to meet consumer demand. What is driving this process? Among…
May 30, 2014
Social media took center stage again when the Division of Investment Management of the Securities and Exchange Commission (“SEC”) released…