Even though there is no specific rule under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) for registered investment advisers to seek best execution when trading on behalf of their clients, most investment advisers understand that this … Read More
As the regulatory landscape continues to evolve, investment advisory and broker-dealer professionals increasingly rely on technology and third-party vendors to meet expanding compliance obligations. Outsourcing compliance functions remains a growing trend, with firms finding specialized expertise, cost efficiency, and enhanced … Read More
The day began for you like any other: you show up to your office at the same time as always. You follow your usual habits and routines as you move through the space to your workstation, the sights, sounds, and … Read More
In this month’s Risk Management Update, we’re highlighting recent insights and observations in the world of cybercrime. While there is nothing new about most of these activities, cybercriminals are continually adapting their methods to stay one step ahead of financial … Read More
In the ever-evolving landscape of compliance, investment advisory and broker-dealer professionals are increasingly turning to technology and third-party vendors to fulfill expanding regulatory requirements. Of those polled by Thomson Reuters for their 2023 “Cost of Compliance” report, 38% of compliance … Read More
In the rapidly evolving landscape of financial services, off-channel communications present a significant compliance challenge for investment advisers. With the rise of digital platforms, advisers can engage with clients through various channels, such as email, social media, and messaging apps … Read More
June 1, 2023 | 9:00am PT Speaker: Michelle L. Jacko, CEO, and Christian Kelly, Chief Technology Officer, Xantrion Join our free live webinar on June 1st at 9 am PT to learn how the anticipated SEC New Cyber Rules could … Read More
In February of 2022, the SEC proposed Cybersecurity Risk Management Rules and Amendments (the “Proposed Rules”) that continue to focus on cybersecurity risks as an unavoidable reality for the financial markets and, specifically, for registered investment advisers who “increasingly depend … Read More
As the world of compliance in the investment advisory and broker-dealer spaces continues to evolve and the scope of required services expands, compliance professionals in the industry are leveraging technology and third-party vendors more than ever to meet the demands … Read More
On episode 99 of the CCO Buzz, our Sr. Compliance Consultant and Technology Specialist discusses how technology has become an integral part of effectively managing a compliance program and how different solutions can assist in recordkeeping and monitoring.