Form ADV – Disclosure Reminders and Beyond
It’s that time of year again where registered investment advisers with a fiscal year end of December 31st must file their annual amendments to Form ADV. Investment Advisers have 90 days after their fiscal year end to make the filing, … Read More
Cybersecurity – Email Security Steps
In today’s world, emails are the main avenue of communication, both for personal and business purposes. However, accompanying that is the fact that email hacking has become more commonplace and hackers continue to find sophisticated ways to obtain illegal access.
Cybersecurity Vulnerability Assessments and Penetration Tests
Vulnerability assessments and penetration testing enter the realm of information security (IS) professionals. It is important to note that information security is a sub-specialty of information technology and most “IT guys” are not trained in information security. Therefore, it’s important … Read More
The Human Element of Cybersecurity
Beginning in 2014, both the Securities Exchange Commission (“SEC”) and FINRA began to examine the heightened risk financial services firms face regarding unauthorized access to the electronic data that these firms routinely maintain as part of their businesses. As part … Read More
‘Tis the Season: The Human Aspect of Project Management
“I don’t measure a man’s success by how high he climbs but how high he bounces back when he hits the bottom.” ~General George Patton As another year is quickly coming to a close, so often organizations reflect on metrics … Read More
Helpful Tips for New Chief Compliance Officers
A Different Perspective On November 30, 2015, SEC Commissioner Luis Aguilar published “Commissioner Aguilar’s (Hopefully) Helpful Tips for New SEC Commissioners.” What follows is an application of a portion of Commissioner Aguilar’s advice geared for a new Chief Compliance Officer … Read More
2015 Core Compliance End-Of-Year Checklist Update
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 … Read More