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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…

On September 28, 2017, the SEC provided regulatory relief to individuals and entities subject to the ’33 Act, ’34 Act…

The determination of hackers to exploit existing cybersecurity vulnerabilities of government agencies and businesses shot to the forefront again last…

Compliance Solutions Strategies’ Advise Technologies unit and Bloomberg today announced a joint regulatory reporting solution for mutual funds needing to…

Alongside technology experts from American Express, Credit Suisse and CIBC, Ascendant’s Jason Morton will speak on developments in regulatory technology…

As Hurricane Harvey touches down on U.S. soil and we hope for the safety of the millions in its path,…