Blog CSS

As a cybersecurity consultant, I am often asked if some of the threats we industry practitioners talk about are overstated….

The SEC’s Divisional Standards of Conduct Implementation Committee launched its review of Form CRS from a cross section of RIAs…

The SEC released a proposed amendment to Form 13F on July 10 to update the reporting threshold for institutional investment…

Financial firms have a bigger target on their backs at the moment, according to a new risk alert issued July…

The CFTC announced in June that it would extend many of the no-action relief letters that were set to expire on June 30 due to COVID-19.

With the discontinuation of LIBOR expected in 2021, the SEC has identified that it will have a significant impact on the financial markets and may present a material risk for SEC-registered investment advisers and broker-dealers.

The Office of Compliance Inspections and Examinations (“OCIE”) released its expected Private Fund Risk Alert to highlight compliance issues observed in examinations of private equity and hedge fund registered investment advisers.

For ERISA plan fiduciaries who thought they were being responsible and addressing participants’ demands by including investments in employee retirement…

FINRA recently deployed a new security feature for users of the Web CRD and IARD systems which is being rolled…

Financial institutions are down to one week left to update their privacy notices and privacy practices in order to comply…

Since the outbreak of the COVID-19 pandemic and the resulting lockdown of Wuhan, China on 23 January 2020, world markets…

Among the hundreds of threshold reporting rules throughout Europe that affect investment managers, a significant number apply to long or…