What: The proposed rule would require some investment advisers to apply certain anti-money-laundering and countering […]
The Securities and Exchange Commission announced on July 26th that 21 investment advisers and 6 broker-dealers […]
Background & Summary On July 8, 2019, the US Securities and Exchange Commission (SEC) issued […]
With 2018 in rear-view mirror and 2019 underway, we find ourselves in a position to look back across the regulatory landscape on what transpired over the course of last year in an effort to anticipate what this New Year may bring for Investment Advisers.
Today, there is a new paradigm of regulatory expectations, creating increasingly daunting compliance and operational […]
As we all contemplate our priorities for 2015, we can be rest assured that Cybersecurity will continue to be a focus area for FINRA, the SEC and other regulators in the coming year. Based on our understanding and utilization of the NIST CICS framework, we can offer your organization a best-in-class, cost effective assessment, training, and technological suite of solutions that can be tailored to meet your company’s specific needs, requirements and budgetary constraints.
In the wake of the many highly publicized data-breaches in 2014, our clients have reached out to us for advice and guidance in an effort to increase the overall awareness of Cybersecurity risk within their respective organizations.