Today, all financial services firms share a strong desire to demonstrate good conduct, integrity and no conflict of interest with their clients. As fiduciaries, the industry is mandated by regulation (like REG BI) to place the interests of clients ahead of its own.
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As the COVID-19 pandemic continues to take its toll across the globe, more and more companies are mandating that their employees work from home to ensure their safety and help flatten the curve.
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There are a lot of common misconceptions surrounding blue sky laws. Does an offering require an initial filing with the SEC using Form D to claim an exemption from registration? Does an SEC filing preempt the blue sky law requirement to file with state/jurisdictions?
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As millennials reach higher levels of influence in the workplace, their digital preferences become the standard. This age group has grown up alongside the emergence of digital technologies, and they tend to have a digital-first mindset.
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One of the most prominent challenges when it comes to data access is the increasing expectation of stakeholders. The more data available, the more complex the requirements tend to become; it’s a self-perpetuating problem that will only get bigger if you are not employing the right technology.
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Change Management is a structured approach to shifting individuals, teams and organizations from a current state to a desired future state aimed at helping employees accept and embrace changes in their current environment.
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Are family offices paying enough attention to cybersecurity, and do they approach the challenge with the right people and technology? Should the family office sector regard big cloud providers as a risk to mitigate against? These are some of the questions we plan to address at the upcoming the 5th Annual FWR Family Office Fintech Summit on Tuesday March, 17 in New York.
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In my last blog, I talked about front-end digitization and why it’s the easiest and most obvious step in your digital transformation journey. After all, what’s not to like about speedy cost reduction over a short period of time? Unfortunately, that’s where most transformation journeys end.
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