SEC to Propose New Rules for Registered Funds that Invest in Derivatives
Warren Buffet on Derivatives “In my view, derivatives are financial weapons of mass destruction, carrying dangers that, while now latent, are potentially lethal.” ~ Excerpt from the 2002 Berkshire Hathaway Annual Report Buffet’s comments were particularly prescient six years later … 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
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
Considerations for Compliance Automation
In every walk of life, manual functions are being automated and securities compliance is no exception. This trend will likely continue, and for good reason: automation can create efficiency, improve accuracy and increase capacity. In this update we will address some of … Read More
Updates to Form PF
The list of reporting requirements for investment advisers (“IAs”) is constantly growing. As a joint initiative between the Securities and Exchange Commission (“SEC”) and the U.S. Commodity Futures Trading Commission (“CFTC”) under the U.S. Dodd-Frank legislation (“Dodd-Frank”), Form PF was … Read More