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  Stopping, or even slowing, the proliferation of cyber-event related criminal activities remains a chief goal in the broker-dealer and…

Following the Department of Labor’s November 27, 2017 announcement of an 18-month extension to the existing Fiduciary Rule transition period,…

Do I need to file a 13D or 13G if my client accounts hold in excess of 5% of an…

Given the dramatic impending changes in regulatory reporting requirements for asset management firms, their chief operating officers, administrators and compliance…

The SEC’s Custody Rule continues to be a common source of confusion and a landmine for noncompliance. Custodial paperwork has…

Some industry anxiety was assuaged on October 26 with three no-action letters that offer relief for some US regulated broker-dealers and…

A year ago, the SEC adopted Investment Company Reporting Modernization Rules and Forms, as well as rules pertaining to liquidity risk…

AAAAGH! That’s the frightened response we expect asset management company executives to make when they are hit by yet another…

For any business, “ports” that allow for communication generally need to be open (for example, ports 80 and 443 for…

In general, an expert network platform facilitates the exchange of information between “experts” and investment professionals. Unfortunately, certain industry participants…

On October 16, hundreds gathered at the Omni Shoreham Hotel in Washington D.C. to celebrate the 30th anniversary of the National Society…

Hope and fear play a major role in behavior ethics. Behavior ethics is teaching us that we are teaching ethics…