Latest Risk Management Update

2017 Solutions for Compliance Professionals

At the beginning of every year, the Securities and Exchange Commission’s (“SEC’s”) Office of Compliance Inspections and Examinations (“OCIE”) identifies its examination priorities for the coming year. These priorities, which are based on perceived heightened risks to investors and the U.S. capital markets, address a wide variety of issues impacting financial firms throughout the U.S. …

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Compliance Protocols for Dealing with Current Cybercrimes

According to a Data Breach Investigations Report published by Verizon in 2016,[1] there has been a definite upward trend in the number of people clicking on “phishing” emails since 2014.  Phishing is a type of social engineering used by hackers to trick people into introducing a virus into their computer or revealing confidential information. To …

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Why Investment Advisers Should Perform Annual Risk Assessments

Risks applicable to investment advisers continue to be a high priority focus for the Securities and Exchange Commission (“SEC”).  To that end, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) is tasked with the responsibility of, among other things, monitoring risk applicable to its registrants.  In the release of the SEC’s 2017 examination priorities,1 OCIE’s …

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