Latest risk management updates

Identifying and Mitigating Advisory Conflicts of Interest

Conflicts exist in every business.  However, investment advisers have a fiduciary duty to always put the interests of their clients ahead of their own.  There are several areas of an adviser’s business that have potential conflicts of interest and even certain activities that carry inherent...

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Latest risk management updates

Staying Ahead of the Cybersecurity Curve: Part II

In September of this year, the Securities and Exchange Commission (“SEC”) charged Voya Financial Advisors, Inc. (“VFA”) with violating Rule 30(a) of Regulation S-P (“Privacy Safeguards Rule”) and Rule 201 of Regulation S-ID (“Identity Theft Rule”) due to VFA’s failure to take appropriate steps to...

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2015 CCLS Compliance End-Of-Year Checklist Update

November 30, 2015

On November 18, 2015, SEC Chair Mary Jo White gave testimony to the Committee on Financial Services, outlining the various steps the SEC has been taking and what they plan on doing going forward in regards to the financial markets and financial services industry.

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Considerations for Compliance Automation

October 14, 2015

In every walk of life, manual functions are being automated and securities compliance is no exception. This trend will likely continue, and for good reason: automation can create efficiency, improve accuracy and increase capacity. In this update we will address some of the pros and cons of...

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Important Regulatory Filings that Affect Investment Advisers

September 30, 2015

 

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Principal Trading and Agency Cross Transactions for Advisory Clients: Are Your Policies and Procedures Compliant?

August 25, 2015

August 2015

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The Importance of Reviewing Fees Assessed to Retirement Plans

July 24, 2015

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Soft-Skills: How to Develop Successful Project Management for Compliance Initiatives

June 11, 2015

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Social Media - Compliance Risk Management Considerations

May 26, 2015

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Regulatory Pitfalls Regarding Fee Based Accounts

April 24, 2015

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2015 Solutions for Compliance Professionals

March 19, 2015

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Form ADV - Important Things You Need To Know About Updates

February 19, 2015

February 2015

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Valuation - What Investment Advisers Should Know

January 21, 2015

January 2015

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The Dangers of Recidivist Deficiencies and the SEC's Compliance Program Initiative

December 23, 2014

December 2014 "In the past few years, the Securities and Exchange Commission (“SEC”) has taken a tougher stance against recidivist behavior by registered investment advisory firms (“RIAs”). Recidivism refers to occurrences where an RIA has not corrected deficiencies noted in previous regulatory...

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