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Jun 5, 2019

Beyond basics – three enhanced practices to protect customer records

In response to existing and emerging security risks to your customers’ records, you should implement, maintain and evidence three enhanced practices within your internal technology environment.  Furthermore, you should demand the same of your critical third-party vendors.

Mar 1, 2017

Compliance Readiness and SEC Priorities for 2017: Webinar

Twenty years ago, the SEC’s Office of Compliance Inspections and Examinations (OCIE) set a goal of examining every RIA firm every five years. But with the explosive growth of registered advisors, and constraints on the SEC’s resources, that goal has proven unattainable. The Dodd-Frank act was intended to provide some relief by moving a large number of smaller advisors to state oversight, but the same law drove an influx of hedge funds for the first time under SEC jurisdiction. In 2016, ...

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