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While changes to Form ADV on October 1, 2017 have been well-publicized, we encourage firms not to overlook the other…
There are three reasons sub-advisers need to catch up fast on N-PORT: Someone else’s regulation has become YOUR problem We’ve…
The U.S. Securities and Exchange Commission disclosed recently that its Electronic Data Gathering, Analysis and Retrieval (EDGAR) system, a comprehensive…
On September 28, 2017, the SEC provided regulatory relief to individuals and entities subject to the ’33 Act, ’34 Act…
The determination of hackers to exploit existing cybersecurity vulnerabilities of government agencies and businesses shot to the forefront again last…
Compliance Solutions Strategies’ Advise Technologies unit and Bloomberg today announced a joint regulatory reporting solution for mutual funds needing to…
Alongside technology experts from American Express, Credit Suisse and CIBC, Ascendant’s Jason Morton will speak on developments in regulatory technology…
As Hurricane Harvey touches down on U.S. soil and we hope for the safety of the millions in its path,…
The Boston Regional Office of the SEC has recently conducted roughly 20 unannounced visits to registered investment advisers in the…
The Secretary of Labor, Alexander Acosta, made a court filing on August 9 requesting the Transition Period and Delay of…
The results of the SEC’s second cybersecurity sweep examinations are in, and they paint a picture of an industry that has come to grips with the need to address cybersecurity risk, but where the canvas is incomplete in many respects.
On the heels of the recently adopted New York State Department of Financial Services Cybersecurity Regulation (23 NYCRR 500), Colorado…
