On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory […]
On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory […]
President and Chief Executive Officer of the Investment Adviser Association, Paul Cellupica, has posted a […]
Examining matters of importance to retail investors Spotlight On Talent: Portia Amato, Compliance Officer By […]
Washington D.C., April 20, 2015 — The Securities and Exchange Commission today charged BlackRock Advisors […]
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.
The Securities and Exchange Commission (“SEC”) recently announced an enforcement action against two broker-dealers that […]
YOU BETTER CHECK YOURSELF - BEFORE YOU WRECK YOURSELF End of Year Compliance Requirements For […]
Recent SEC enforcement actions have increased focus on how well advisers and boards of registered and unregistered investment companies provide compliance oversight. Download the Investment Adviser Bulletin and stay up to date with the regulatory landscape. This month Valerie Lewis examines four examples that touch on best execution practices and disclosures, valuation of securities, and oversight of sub-advisers.
