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Investment strategies focusing on certain environmental or social themes have been around for a long time. Historically, these strategies were…

Have you been through a regulatory examination recently? If not, take heed, your time might be coming. Without even looking…

The Securities and Exchange Commission is not the only regulatory body increasing the number of examinations in 2021.  On September…

Where are we on EMIR REFIT? As of July 2021, ESMA has published a consultation on the draft EMIR REFIT…

As the world prepares to address emerging COVID variants, there is another threat to people’s security: emerging ransomware variants. As…

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…