December 9, 2019
With less than one month before the California Consumer Privacy Act (CCPA) is effective, companies are preparing to update their…
cybersecurity Tag
October 3, 2019
Regulators and legislators certainly have been busy in 2019, leaving little breathing room for financial firms. More data privacy laws…
September 30, 2019
Last week we discussed the changes to the Massachusetts IA Disclosure Rule. That is not the only state legislature that…
September 13, 2019
The Commodity Futures Trading Commission (CFTC) isn’t holding back when it comes to holding firms accountable for protecting their client’s…
September 12, 2019
Cybersecurity regulations have landed ashore on the islands, and life is about to become anything but a beach for firms…
July 25, 2019
Virtual Private Networks (“VPNs”) are a secure way for employees to access firm files remotely, whether working from a home…
July 9, 2019
Cybersecurity is a risk that applies to firms both large and small without discrimination. Even very small advisory firms, which…
May 24, 2019
A sweep of investment advisers is underway by the U.S. Securities and Exchange Commission, which has sent out many letters…
May 24, 2019
Even your client relationship management (CRM) software may not be safe from hackers. That’s the lesson some advisers are learning…
March 15, 2019
The Investment Adviser Association (IAA) represents the interests of investment advisers in Washington D.C., and the IAA Investment Adviser Compliance…
February 28, 2019
The SEC announced on Wednesday, Feb. 27 that it approved an interim final rule amending the timing requirements for filing…
December 21, 2018
Well ahead of the New Year, the SEC Office of Compliance Inspections and Examinations (OCIE) announced its 2019 examination priorities….