The BCP and transition planning rule–SEC Rule 206(4)-4–has major implications for both compliance and operations. ComplianceCast covers the proposed rule requirements, concerns and impacts.
In recent remarks by Acting SEC Chair Michael S. Piwowar, he signaled his interest in revising the accredited investor threshold in an effort to level access to higher risk, higher return investments.
The news headlines continue to be filled with insider trading scandals. Now is a great time to provide employees with additional training on what constitutes insider trading and the potential repercussions of acting on such information.
Ascendant summarizes SEC and FINRA exam priority letters, highlighting key topics to investment advisers and broker-dealers, along with practical advice.
Ascendant Compliance Management announces its partnership with Compliance Solutions Strategies (“CSS”), a newly founded global compliance risk management company.
New York’s 23 NYCRR 500 Cybersecurity rule goes into effect on March 1, 2017 requiring banks and other financial services companies to establish and maintain a cybersecurity program designed to protect consumers and ensure the safety and soundness of the state’s financial services industry.