As the new year begins, there is a great opportunity to enhance your firm’s compliance program and start the year off on a positive note. In this Risk Management Update, we will discuss several recommendations and best practices to consider … Read More
When the price of a much-publicized asset increases 296% as Bitcoin did in 2020, it’s bound to attract attention from institutional investors, the general public, and the U.S. Securities and Exchange Commission (SEC). After taking 10 years since its creation … Read More
Closing out our short series of suggested focus areas for 2021, this blog post focus on the overall theme of the SEC’s Division of Enforcement’s Annual Report. Over the course of 2020, the industry has tried to navigate through unknown … Read More
CEO Michelle Jacko’s article, “How to Improve Your Compliance Program,” was published in the October 2020 issue of the Investment Adviser Association’s (IAA) Compliance Corner Newsletter. In the article, Ms. Jacko provides readers with additional ways to improve their Compliance … Read More
Cybersecurity continues to be a top priority for the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations’ (“OCIE”), especially as the bulk of firms have had to shift to working remotely in light of COVID-19. Just in … Read More
Registered investment companies (“RIC”) are regulated entities subject to various securities laws. One main regulation is Rule 38a-1 under the Investment Company Act of 1940, as amended (“40 Act”), which requires a RIC to adopt and implement a compliance … Read More
On episode 78 of the CCO Buzz, our Senior Compliance Consultant discusses Rule 38a-1 under the Investment Company Act of 1940 and the requirements within compliance programs for Registered Investment Companies.
On July 10, 2020, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) released a risk alert highlighting a recent increase in ransomware attacks against financial industry participants. The risk alert highlights the importance for financial … Read More
On episode 74 of the CCO Buzz, our Senior Compliance Consultant discusses supervision considerations for the current COVID-19 Era and how firms can start planning for the future.
On episode 73 of the CCO Buzz, we discuss cybersecurity considerations for working from home during COVID-19.