Cryptocurrency Fraud Runs Rampant
Crypto criminals are having a big year, according to the Silicon Valley-based cybersecurity firm CipherTrace.
Year End Compliance Checklist Considerations for Investment Advisers
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
How to Deter the Possibility of Insider Trading by Your Employees
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.
It’s a Good Time to Review Fee Disclosure for Accuracy & Transparency
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.
Updates and Changes to Your Firm’s Policies and Procedures
Under Rule 206 (4) -7 all Registered Investment Advisers (“RIA’s) are required to have compliance Policies and Procedures, adequately designed to help them meet their regulatory requirements. A Firm’s obligations regarding their Policies and Procedures manuals do not end at … Read More
NSCP National Conference 2019 | Supporting Women in Compliance
October 21, 2019 | Baltimore, MD | Speaker: Michelle L. Jacko, CSCP, CEO
IMPACT 2019 | SEC Examinations: Today’s Hot Topics
November 4-7, 2019 | San Diego, CA | Speaker: Michelle L. Jacko, CSCP, CEO
Episode 53: Cybersecurity Testing
On episode 53 we discuss a key component of a firm’s annual review – Cybersecurity Testing.
Cybersecurity Testing as Part of the Annual Review
Firms registered with the Securities and Exchange Commission (“SEC”) are mandated by Rule 206(4)-7 (“Compliance Rule”) to perform an annual review of their policies and procedures, and a key component of a firm’s annual review should include cybersecurity testing. Cybersecurity … Read More