October 12, 2021 Cryptocurrencies in Your Compliance Program Investing in cryptocurrencies represents a relatively new alternative investment opportunity to diversify an investment portfolio to many investors. To registered…
October 6, 2021 Regulatory Examination Priorities & ESG Programs Investment strategies focusing on certain environmental or social themes have been around for a long time. Historically, these strategies were…
October 5, 2021 Compliance Solutions Strategies Launches Document Production Centre An advanced automation and workflow platform for the production and distribution of investor documents such as PRIIPs KID and SFDR…
September 29, 2021 Regulatory Examination Priorities & Insights Have you been through a regulatory examination recently? If not, take heed, your time might be coming. Without even looking…
September 17, 2021 State Examinations on the Rise The Securities and Exchange Commission is not the only regulatory body increasing the number of examinations in 2021. On September…
September 7, 2021 Compliance Solutions Strategies Named to AIFinTech 100 CSS awarded for its digital transformation technology and data analytics solutions which enable clients to move from tactical to strategic…
July 29, 2021 Show Me the Money How are you getting paid? That is the question that the SEC is focused on in recent regulatory examinations of…
June 9, 2021 Keeping Your Compliance Program on Track This year more than ever, it’s a time for renewal and optimism. As compliance professionals, we have completed our reviews…
June 8, 2021 Compliance Solutions Strategies Named to CyberTech100 CSS awarded for its technology and service offerings which enable clients to take a proactive approach to cybersecurity risk management…
February 11, 2021 Groundhog Day for Compliance & the SEC in 2021 It’s almost mid-February, and we’ve come out of the January haze. Now we have a bit more information on where…
April 3, 2020 COVID-19 and Compliance – Mitigation Efforts Will Have Compliance Consequences the SEC Soon Will Examine We understand that COVID-19 has brought many stresses, both personal and professional. To many private fund advisers, this may seem…
April 25, 2019 Compliance 2.0 – Being a Strategic Partner in Your Firm Compliance as a profession continues to evolve. With Enron, Bernie Madoff and numerous other failures paving the way for rulemaking…