December 8, 2017
Stopping, or even slowing, the proliferation of cyber-event related criminal activities remains a chief goal in the broker-dealer and…
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November 30, 2017
Following the Department of Labor’s November 27, 2017 announcement of an 18-month extension to the existing Fiduciary Rule transition period,…
November 20, 2017
Do I need to file a 13D or 13G if my client accounts hold in excess of 5% of an…
November 19, 2017
Given the dramatic impending changes in regulatory reporting requirements for asset management firms, their chief operating officers, administrators and compliance…
November 14, 2017
The SEC’s Custody Rule continues to be a common source of confusion and a landmine for noncompliance. Custodial paperwork has…
November 3, 2017
Some industry anxiety was assuaged on October 26 with three no-action letters that offer relief for some US regulated broker-dealers and…
November 2, 2017
A year ago, the SEC adopted Investment Company Reporting Modernization Rules and Forms, as well as rules pertaining to liquidity risk…
October 31, 2017
AAAAGH! That’s the frightened response we expect asset management company executives to make when they are hit by yet another…
October 30, 2017
For any business, “ports” that allow for communication generally need to be open (for example, ports 80 and 443 for…
October 27, 2017
In general, an expert network platform facilitates the exchange of information between “experts” and investment professionals. Unfortunately, certain industry participants…
October 23, 2017
On October 16, hundreds gathered at the Omni Shoreham Hotel in Washington D.C. to celebrate the 30th anniversary of the National Society…
October 23, 2017
Hope and fear play a major role in behavior ethics. Behavior ethics is teaching us that we are teaching ethics…