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Blog Archive

News, updates and analysis from around the world of compliance

For some attacks, the amount of time to compromise and exfiltrate data is measured in seconds. Time is of the essence when a potential incident occurs.

Common ‘Cents’ Compliance: How Managing an Effective Program Can Save You Millions Current SEC Priorities for Investment Advisers. The Current…

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

Custody of Client Funds and Securities The sometimes-tricky determinations of custody. How apps can trigger custody. Third-party wires, forwarding checks…

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