Whitepapers

When it comes to managing cybersecurity risk, investment advisers are in a tough position. As the frequency and variety of cybersecurity risks mount, IT budgets and staffing do not always follow suit. Compliance and IT professionals are often asked to do more with less, which can seem overwhelming given an ever-expanding list of regulatory and business requirements as well as increased scrutiny of firms’ cybersecurity controls by third parties.

If your firm isn’t already using an outside consultant, you may want to ask yourself “why not?” Oftentimes at hedge funds, compliance officers struggle to successfully fulfill the requirements of the job without an essential tool in their toolbox: the outside compliance consultant. Why? The primary reason is simple: resources.

As the investment management industry becomes more consumer-focused, individual investors are pressing advisers for more innovative products and a personalized client experience. Further, the growth of passive strategies has created fee pressure across the spectrum, leading to contracting margins.1 Outsourcing certain critical functions can be an effective tool for advisers looking to focus on more strategic goals.

A comprehensive solution for Forms N-PORT, N-CEN and N-LIQUID

A comprehensive end‐to‐end solution for insurers, banks, asset managers and distributors

A comprehensive suite of regulatory data solutions for fund managers and distributors.

In early 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) and FINRA released their annual examination priority letters,…

Financial services are target No. 1. That was confirmed in a 2014 SEC cybersecurity roundtable when Larry Zelvin, then a…

It seems like there’s a new data breach in the news every other week. The fact is that hacking tools…

Think cybersecurity breaches won’t happen to your firm? It may be time to reconsider. Cybersecurity breaches are becoming much more…

When investment advisers use the cloud, they are making a conscious, informed decision to outsource tasks to vendors who may…

Companies struggling with Word, Excel and other traditional applications to support compliance functions, often lack guidance when evaluating tailored software…