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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…

While changes to Form ADV on October 1, 2017 have been well-publicized, we encourage firms not to overlook the other…

There are three reasons sub-advisers need to catch up fast on N-PORT: Someone else’s regulation has become YOUR problem We’ve…

The U.S. Securities and Exchange Commission disclosed recently that its Electronic Data Gathering, Analysis and Retrieval (EDGAR) system, a comprehensive…