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As a compliance professional, the past months have probably been the most challenging of your career. Events, whether COVID-19, significant…

How prepared was your firm for the disruption of COVID-19 pandemic? Did your firm’s business continuity plan cover a pandemic?…

A popular brand of VPN software recently had usernames, passwords, and IP addresses published on a dark web hacker forum…

The COVID-19 pandemic and the resulting market volatility have led several governments to amend law and regulation in the context…

A well-known New York-based financial institution is the most recent financial services firm to report a pair of data breaches…

The SEC’s “Office of Compliance Inspections and Examinations (“OCIE”) issued an Alert today regarding “Select COVID-19 Compliance Risks for Investment…

Let us be clear…. we’re actually talking about the potential increase in production of point-of-investment disclosure documents for investment managers….

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.