Michelle Jacko and Tina Mitchell wrote the article, “Performing Due Diligence and Oversight of Third-Party Service Providers” which was published in Modern Compliance Volume II by Wolters Kluwer in 2017.
On Episode 57, we discuss the essentials of an effective Business Continuity Plan.
November 7, 2019 | San Francisco, CA | Alts for RIAs 2019
On Episode 56 , we take a look at the SEC’s release on proxy voting for investment advisers.
September 24, 2019 | RightSize Solutions
Crypto criminals are having a big year, according to the Silicon Valley-based cybersecurity firm CipherTrace.
With another year winding down, compliance personnel needs to begin evaluating the status of compliance projects and schedule any remaining tasks to ensure completion. Consideration of any regulatory changes, guidance, and risk alerts issued during the year, emerging best practices … Read More
On August 12, 2019, the Securities and Exchange Commission (SEC) announced it had filed civil proceedings against Bill Tsai, a junior analyst at RBC Capital Markets, for alleged insider trading.
When it comes to the all-important topic of management and other fees or expenses, investment advisors are charged with the fiduciary responsibility of making certain they disclose all related information comprehensively and transparently.