ComplianceCasts ™

It’s Friday afternoon, and you’re planning to leave early and get a jump start on your weekend. You receive an email with the subject “Office 365 – Failed Login Attempts – Password Reset Required Immediately!” You wonder who tried to access your account or whether you forgot to logout of your email on the public computer at the hotel business center.

Would you buy a car without taking it for a test drive? It seems obvious you would want to know the vehicle has all its parts, and that those components work together to make the vehicle operate properly.

United States and European Union reporting requirements imposed on investment managers have exploded since the Global Financial Crisis and, with…

You timely filed your Form ADV within 90 days of fiscal year end, but, did you properly answer all the…

Guest post by Samson Williams, Partner – Axes & Eggs and Keynote Speaker – Ascendant CSS Spring 2019 Conference  I…

The European Securities and Markets Authority (ESMA) has updated its Questions and Answers on the application of the Alternative Investment…

The Investment Adviser Association (IAA) represents the interests of investment advisers in Washington D.C., and the IAA Investment Adviser Compliance…

In the runup to 1 January 2018, financial firms the world over rushed to select service providers for the various tools required to comply with PRIIPS and MiFID II.

The SEC announced on Wednesday, Feb. 27 that it approved an interim final rule amending the timing requirements for filing…

Consider joining us in Miami from April 15-17 to examine the implications of new and evolving regulations and technologies, explore…

Fresh from our London conference “Looking at the Year Ahead – Global Compliance and Data Priorities” – a rousing success! – we’ll cover takeaways from a key panel discussion on shareholder monitoring and disclosures.

Compliance programs face challenges in balancing global requirements with local exceptions while incorporating the fast pace of regulatory change, addressing…