According to a Data Breach Investigations Report published by Verizon in 2016,[1] there has been a definite upward trend in the number of people clicking on “phishing” emails since 2014. Phishing is a type of social engineering used by hackers … Read More
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
“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
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
All compliance officers are de facto project managers. Whether you are conducting an internal audit, authoring and implementing policies and procedures, rolling out new compliance technology, or training employees on compliance requirements – all these projects go towards helping your … Read More
A few weeks ago, we wrote a blog highlighting the Municipal Securities Rulemaking Board’s (“MSRB”) proposal for professional qualification standards for municipal advisors Well, the qualification standards are no longer a proposal. Today, the Securities & Exchange Commission (“SEC”) approved the … Read More
Individuals who perform “municipal advisory activities, such as providing financial advice to state and local governments on municipal bond issuances” may soon be required to be licensed by passing a basic competency exam. During their recent quarterly board meeting, the … Read More
Happy New Year! With the new year comes important annual and new filing requirements that are necessary to keep your firm compliant with applicable regulations. With this in mind, we are providing you with a summary of filing deadlines and … Read More
Effective communication is crucial in any relationship. It is an art that must be honed and perfected, especially within a business organization. The following are some tips to consider for advancing communication between the Chief Executive Officer (CEO) and Chief … Read More