If you were unable to make Ascendant’s Spring Conference in Savannah, Georgia, or you just want a recap, this ComplianceCast™ Minute will give you a brief recap of the highlights of the conference. With a focus on big data and risk analytics, the conference provided attendees a wealth of information on where the new risks lie for investment advisory firms. Key topics also included identity theft and cybersecurity concerns, the growing use of technology by regulators, and marketing considerations for private fund managers. If you are interested in obtaining the conference materials, you can purchase the entire workbook, including a USB drive with the information, by contacting Ascendant at (860) 435-2255.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
Recent ComplianceCasts™
- Promoting and Inspiring Ethics and Integrity in a Bottom-Line Workplace
- The Compliance Professionals Guide to Effective Trade Desk Monitoring
- The Cost of Compliance: Understanding and Leveraging Resources
Recent ComplianceCast™ Minutes
- New SEC proposed rule: Business Continuity and Transition plans
- SEC Outreach Panel Recap
- How to Improve Your Forensic Testing
Related Content
Lessons Learned: Wargaming Your Incident Response Plan
Data breaches and cyber incidents made headlines again recently with the announcement that 50 million Facebook accounts were compromised as well as the SEC’s issuance of sanctions against a dual registrant stemming from the firm’s response to phishing attacks. So it was both timely and fitting that U.S. intelligence community veteran Jeff Welgan, Executive Director … Continued
Marketing and Advertising Dos and Don’ts in a Digital World
When it comes to advertising, processes, procedures, and disclosure matter. Not everyone in a firm will understand the importance of the “details” in regard to the various pieces to advertising, and in particular performance advertising. Don’t be afraid to question processes that are outside your responsibilities and stand up for ensuring your firm is putting … Continued
Race to the Top – States Push to Broaden Breach Reporting Requirements
Facebook just reported a massive data breach impacting over 50 million user accounts. And while most investment advisers are not likely to experience a breach of that scale, what is likely is that a cyber incident will occur at some point. Consequently, state regulators continue to expand the protections they require for their residents through … Continued
10 Rules for Marketing Alternative Funds
When it comes to managers of alternative assets, it seems there’s a bit of a trust problem. According to a recent CFA Institute survey, for example, trust in hedge funds was 59% while trust in other alternative investment managers was only 60% among institutional investors. Those numbers come in far below institutional investors’ trust in mainstream managers, which … Continued
