CyberINsecurity: What You Don’t Know Can Hurt You
- Learning the Lingo: Understanding Basic Cybersecurity Concepts That Regulators Expect Your Firm to Address.
- Evaluating Cybersecurity Risk – Digging Beneath the Surface.
- The Importance of Monitoring Your Network and Your Data.
- Tips from the Hacker Playbook (in Plain English): Techniques to Stay Ahead of the Bad Guys.
- Staying Informed on Cybersecurity Risks Applicable to You.
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Completing the Form ADV – Navigating the System and Proposed Amendments
Worried About What You Don’t Know? A Curriculum for Becoming a Better CCO
Managing the CCO Function
CCO Liability: Truth, Misunderstandings and How to Protect Yourself (Everything You Always Wanted To Know About CCO Liability But Were Afraid To Ask) – Part II
Evolution of Fiduciary Rules Begins to Take Shape in SEC
On April 18, 2018, the SEC voted to propose several new rules and reforms related to fiduciary standards. The package intends to raise and clarify standards of conduct for broker-dealers and investment advisers, and to provide clarity regarding fees, conflicts and other material matters. It also aims to ensure that the standards can be understood … Continued
Insurance Considerations for Investment Advisers
How much coverage is enough? What types of insurance policies do you need? Whether you are starting an investment advisory practice, launching a new line of business, or reevaluating your existing risks, there are critical questions to ask to make sure you understand the various ways to protect your firm. Join us for a practical … Continued
Fifth Circuit Weighs In on DOL Fiduciary Rule
A panel of the U.S. Court of Appeals for the Fifth Circuit has vacated the Department of Labor’s Fiduciary Rule. In a 2-1 split, the Fifth Circuit’s decision overrules a Dallas District Court’s decision, which had previously upheld the rule. Unfortunately, the decision does little to settle the fate of the beleaguered rule. Although it … Continued
SEC Proposes Amending Investment Company Liquidity Disclosures in Forms N-PORT and N-1A
On March 14, 2018, the Securities and Exchange Commission (“SEC”) proposed amendments to the mutual fund liquidity-related disclosure requirements. Specifically, the proposal: Adds a new requirement to “briefly discuss the operation and effectiveness of the Fund’s liquidity risk management program during the most recently completed fiscal year” in the Fund’s Management Discussion of Fund Performance … Continued
Paradigm Shift in SEC Exams, Benefits of a Mock Exam
For investment advisers currently going through an SEC exam, the process likely bears little resemblance to exams of old. Call it the new normal, a paradigm shift, or simply the effects of the SEC having to do more with less, but anecdotal evidence among those now experiencing the exam process suggests some interesting new trends. … Continued
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