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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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
Creating a Culture of Compliance: Tone at the Top, Training and Tips
Troubleshooting CFTC and NFA Deficiency Concerns for Advisers
CCO Liability: Truth, Misunderstandings and How to Protect Yourself (Everything You Always Wanted To Know About CCO Liability But Were Afraid To Ask) – Part I
Schedule 13D/13F Clarity on ETF Issues
Do I need to file a 13D or 13G if my client accounts hold in excess of 5% of an ETF? Generally, no. The SEC has granted no-action relief to ETFs with respect to compliance with Section 13(d) of the Securities Exchange Act. Section 13(d) was designed to require disclosure when holders begin to accumulate … Continued
New Remedy Coming for SEC’s Custody Rule?
The SEC’s Custody Rule continues to be a common source of confusion and a landmine for noncompliance. Custodial paperwork has caused huge headaches for investment advisers, who are not a party to the agreement and may not even have a copy of the custodial new account paperwork. The issue with existing guidance is that it … Continued
SEC Issues MiFID II No-Action Relief
Some industry anxiety was assuaged on October 26 with three no-action letters that offer relief for some US regulated broker-dealers and investment advisers regarding European MiFID II regulations. The letters followed consultation with the European authorities, and are designed to address concerns that investors could lose access to valuable research. MiFID II is a series of regulations … Continued
Regulatory Changes Impacting RICs and Service Providers
A year ago, the SEC adopted Investment Company Reporting Modernization Rules and Forms, as well as rules pertaining to liquidity risk management programs and swing pricing. New forms N-Port and N-Cen along with amendments to Regulation S-X significantly change the current reporting regime for most registered investment companies (RICs) because they require more comprehensive disclosure and … Continued
Publicly Available Information Heightens Need for Cybersecurity Vigilance
For any business, “ports” that allow for communication generally need to be open (for example, ports 80 and 443 for websites, and port 500 for VPN access). While most of these ports allow you to engage in critical functions, there are often ports that remain open despite being unneeded or unused. These available ports present … Continued
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