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At FINRA’s recent annual conference in Washington D.C., President and CEO Robert W. Cook and Executive Vice President of Member…
A sweep of investment advisers is underway by the U.S. Securities and Exchange Commission, which has sent out many letters…
Even your client relationship management (CRM) software may not be safe from hackers. That’s the lesson some advisers are learning…
Maintaining tailored policies and procedures is a critical component of an adviser’s internal controls. Time and time again, we’ve heard…
Engaging third-party service providers to perform key functions can offer an investment adviser access to state-of-the-art technology and solutions necessary…
On April 16, 2019, the SEC released a Risk Alert providing a list of compliance issues related to Regulation S-P,…
Rule 206(4)-7 requires each registered adviser to review its policies and procedures no less frequently than annually, to determine their…
On the heels of several European events focused on shareholder and position limit monitoring, we shifted to Miami, Florida and the Ascendant Compliance Solutions Strategies 2019 Spring Conference for another engaging session on the subject.
We’re still digesting all the great takeaways from the recent AIMA Global Policy & Regulatory Forum 2019. The theme was…
Being a Compliance Officer is no easy task. Administering a compliance program, implementing controls to help protect clients and the…
One of the biggest risks affecting investment advisers is the potential that material non-public information (“MNPI”) may be misused, leading…
Compliance as a profession continues to evolve. With Enron, Bernie Madoff and numerous other failures paving the way for rulemaking…
