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Blog Archive

News, updates and analysis from around the world of compliance

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…