December 7, 2020
The topics of business continuity and succession planning became even more important for RIAs in 2020. This webinar discusses the…
BCP Tag
August 21, 2020
A popular brand of VPN software recently had usernames, passwords, and IP addresses published on a dark web hacker forum…
August 12, 2020
The SEC’s “Office of Compliance Inspections and Examinations (“OCIE”) issued an Alert today regarding “Select COVID-19 Compliance Risks for Investment…
July 13, 2020
Financial firms have a bigger target on their backs at the moment, according to a new risk alert issued July…
April 23, 2020
We don’t know when, but at some point we will have to put on shoes, get a haircut and return…
March 13, 2020
The rapid expansion of the novel coronavirus and the COVID-19 pandemic has caused extreme stress if not panic throughout the…
March 10, 2017
The BCP and transition planning rule–SEC Rule 206(4)-4–has major implications for both compliance and operations. ComplianceCast covers the proposed rule requirements, concerns and impacts.