October 27, 2021 Around the World in 10 Days: ESG Regulatory Developments For global investors, the accelerating pace of ESG regulatory developments portends a massive, additional layer of compliance obligations they will…
October 12, 2021 Cryptocurrencies in Your Compliance Program Investing in cryptocurrencies represents a relatively new alternative investment opportunity to diversify an investment portfolio to many investors. To registered…
October 6, 2021 Regulatory Examination Priorities & ESG Programs Investment strategies focusing on certain environmental or social themes have been around for a long time. Historically, these strategies were…
September 29, 2021 Regulatory Examination Priorities & Insights Have you been through a regulatory examination recently? If not, take heed, your time might be coming. Without even looking…
September 17, 2021 State Examinations on the Rise The Securities and Exchange Commission is not the only regulatory body increasing the number of examinations in 2021. On September…
September 10, 2021 EMIR REFIT FAQs Where are we on EMIR REFIT? As of July 2021, ESMA has published a consultation on the draft EMIR REFIT…
September 3, 2021 Evolving Threats: Battling COVID and Ransomware Variants As the world prepares to address emerging COVID variants, there is another threat to people’s security: emerging ransomware variants. As…
August 16, 2021 Recent Risk Alert from the SEC’s Division of Examinations On July 21, 2021, the SEC’s Division of Examinations released a Risk Alert addressing their observations from examinations of investment…
August 13, 2021 Hacking Tesla, Tractors, and the Hotel Elevator: Ten Observations from the DEF CON hacker conference in Las Vegas Fresh off the plane from attending the DEF CON 29 hacker conference held at Paris and Bally’s hotels in Las…
July 29, 2021 Show Me the Money How are you getting paid? That is the question that the SEC is focused on in recent regulatory examinations of…
July 20, 2021 The Dark Web Was Used to Sell Insider Trading “Tips;” From Where is Your Data Coming? Of course, if you are reading this blog post, you likely are not the type of person to sell or…
July 15, 2021 Cyberattacks Continue to Wreak Havoc – What Can Compliance Teams Do? It’s déjà vu all over again for cybersecurity professionals around the world, many of whom are now scrambling to recover…