August 21, 2020
A popular brand of VPN software recently had usernames, passwords, and IP addresses published on a dark web hacker forum…
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August 16, 2020
The COVID-19 pandemic and the resulting market volatility have led several governments to amend law and regulation in the context…
August 13, 2020
A well-known New York-based financial institution is the most recent financial services firm to report a pair of data breaches…
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…
August 7, 2020
Let us be clear…. we’re actually talking about the potential increase in production of point-of-investment disclosure documents for investment managers….
August 5, 2020
As a cybersecurity consultant, I am often asked if some of the threats we industry practitioners talk about are overstated….
July 30, 2020
The SEC’s Divisional Standards of Conduct Implementation Committee launched its review of Form CRS from a cross section of RIAs…
July 14, 2020
The SEC released a proposed amendment to Form 13F on July 10 to update the reporting threshold for institutional investment…
July 13, 2020
Financial firms have a bigger target on their backs at the moment, according to a new risk alert issued July…
July 3, 2020
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.
July 1, 2020
With the discontinuation of LIBOR expected in 2021, the SEC has identified that it will have a significant impact on the financial markets and may present a material risk for SEC-registered investment advisers and broker-dealers.
June 25, 2020
The Office of Compliance Inspections and Examinations (“OCIE”) released its expected Private Fund Risk Alert to highlight compliance issues observed in examinations of private equity and hedge fund registered investment advisers.