mai 30, 2014 Supervisory Liability and Compliance: The Risk-Oversight Tradeoff Compliance is a unique and somewhat paradoxical professional responsibility – one that must simultaneously co-exist in a silo of independence…
mai 30, 2014 What a Difference a Year Makes: Best Practices for Completing Form ADV The anniversary filing of the revamped Form ADV Part 1A, which included material changes to the Part 2A brochure, is…
mai 30, 2014 Practical IT Change Management, the CCO’s Best Friend: Utilizing Change Management to Evidence Monitoring Utilizing Change Management to Evidence Monitoring As the SEC arrives to the technology party in a very public manner, investment advisers…
mai 30, 2014 Beyond BYOD: Mobile Device Management and the Importance of MDM Compliance for Investment Advisers The New Security Risk When it comes to mobile devices, investment advisers used to have two choices – either they…
mai 30, 2014 Robust Product Due Diligence: It’s A Necessity, Not an Option! New product offerings continue to proliferate as Wall Street strives to meet consumer demand. What is driving this process? Among…
mai 30, 2014 Like It Or Not: Social Media and the Testimonial Rule Social media took center stage again when the Division of Investment Management of the Securities and Exchange Commission (“SEC”) released…