Blog CSS

On July 21, 2021, the SEC’s Division of Examinations released a Risk Alert addressing their observations from examinations of investment…

Fresh off the plane from attending the DEF CON 29 hacker conference held at Paris and Bally’s hotels in Las…

How are you getting paid? That is the question that the SEC is focused on in recent regulatory examinations of…

Of course, if you are reading this blog post, you likely are not the type of person to sell or…

It’s déjà vu all over again for cybersecurity professionals around the world, many of whom are now scrambling to recover…

Compliance departments were no strangers to constraints during the pandemic. They were yet another area of the investment management industry that felt the effects of the pandemic, specifically with budget and…

Are you tired of spending hours opening envelopes, stapling statements together, logging the receipt of statements in a spreadsheet, and…

A recent advancement in position limit compliance encapsulates the term “RegTech” quite well. Pre-trade monitoring – tracking orders before they…

We are witnessing the emergence of Bitcoin as a new (and growing) asset class among institutional investors – a rather…

Why should trade surveillance be a critical component of your compliance program? The short answer is that the devil is…

This year more than ever, it’s a time for renewal and optimism. As compliance professionals, we have completed our reviews…

When the SEC set out to require registered investment advisers to implement a compliance program and designate a chief compliance…