Technology has quickly infiltrated all aspects of our lives. Whether it’s built-in GPS technology in mobile devices or the proliferation of applications that help us shop for groceries, technology is everywhere. According to Nielsen’s “State of the Media: The Social Media Report — Q3 2011” study, social networks and blogs continue to dominate Americans’ time online, and Americans spend more time on Facebook than they do on any other U.S. website.1 The study provides an interesting snapshot of the current social media landscape in the U.S. and other major markets.
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Business Continuity Redux: How the Perfect Storm Provided Regulators with the Perfect Opportunity
Supervisory Liability and Compliance: The Risk-Oversight Tradeoff
Demystifying DLP for Investment Advisers
Beyond BYOD: Mobile Device Management and the Importance of MDM Compliance for Investment Advisers
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
Why Should a Big Hedge Fund Use a Compliance Consultant?
If your firm isn’t already using an outside consultant, you may want to ask yourself “why not?” Oftentimes at hedge funds, compliance officers struggle to successfully fulfill the requirements of the job without an essential tool in their toolbox: the outside compliance consultant. Why? The primary reason is simple: resources. When your head is down … Continued
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