Episode 73: Cybersecurity for Working from Home During COVID-19
On episode 73 of the CCO Buzz, we discuss cybersecurity considerations for working from home during COVID-19.
NSCP Webinar: Forward Thinking: New Focus Areas and How Compliance Programs Need to Change for 2020
June 16, 2020 @ 11:00 AM PST/2:00 PM EST |
Cybersecurity Considerations for Working from Home during COVID-19
The COVID-19 pandemic has upended our personal and professional lives and many businesses are adjusting to this new environment in which working from home could be the new normal for an extended period of time. Since many firms have shifted … Read More
Episode 72: Business Continuity and COVID-19
On episode 72 of the CCO Buzz, we discuss Business Continuity Plans as they relate to COVID-19.
New Guidance on COVID-19 Relief Relating to PPP Loan Eligibility, Form ADV Brochure Delivery, and more
On April 27, 2020, the Securities and Exchange Commission’s Division of Investment Management (the “SEC”) issued updated guidance concerning the following topics in response to COVID-19: Disclosure requirements for investment advisers applying for loans through the U.S Small Business Administration’s … Read More
MSRB Extensions of Deadlines during COVID-19 Pandemic
Due to the considerable operational obstacles faced by many entities under their regulatory umbrella due to COVID-19, the Municipal Securities Rulemaking Board (MSRB) has filed a rule change to provide regulatory relief by extending the compliance and testing deadlines for … Read More
Immediate Impacts of COVID-19 on Investment Adviser Compliance Programs
A month ago, it was unclear of how much COVID-19 (the “coronavirus”) would impact all of us in every facet of our lives. For some, we are indefinitely “sheltered in” and are working remotely where possible. Others must take care … Read More
How Strong Is Your Cybersecurity Program?
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) staff has compiled observations from its thousands of examinations of broker-dealers, investment advisers, clearing agencies, national securities exchange, and other SEC registrants and shared some best practices for … Read More
Is Your Firm Prepared for a Pandemic?
UPDATE (03.12.2020): Since the publishing of this blog post the Coronavirus (COVID-19) has infected more than 130,267 confirmed unique cases and has killed over 4,700 of those affected across 125 countries. The recent outbreak of the Coronavirus (COVID-19) has spread to … Read More
NSCP Webinar: Implementing A Stronger Due Diligence Program
July 23, 2019 @ 11 AM PST/ 2:00 PM EST | Speaker: Core Compliance