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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Records Management for Investment Advisers
Beyond BYOD: Mobile Device Management and the Importance of MDM Compliance for Investment Advisers
Practical IT Change Management, the CCO’s Best Friend: Utilizing Change Management to Evidence Monitoring
Supervisory Liability and Compliance: The Risk-Oversight Tradeoff
Ascendant’s Jason Morton to Speak on RegTech at Strata Data Conference
Alongside technology experts from American Express, Credit Suisse and CIBC, Ascendant’s Jason Morton will speak on developments in regulatory technology at the ‘Fintech Data Day’ at the annual Strata Data Conference on September 26, 2017 in New York. The Strata Data Conference is an annual conference for technology and business professionals who are seeking innovative … Continued
Hurricane Season: How Does your BCM Program Stack Up?
As Hurricane Harvey touches down on U.S. soil and we hope for the safety of the millions in its path, we encourage all firms, even those outside Harvey’s path of flooding and damaging winds, to consider their BCM readiness for such an event. Business Continuity Plans are designed to ensure firms have conducted sufficient advance preparation so … Continued
Surprise, Surprise: SEC Conducting Unannounced Exams
The Boston Regional Office of the SEC has recently conducted roughly 20 unannounced visits to registered investment advisers in the region. This fact, confirmed during the recent meeting of the New England Broker-Dealer and Investment Adviser Association (NEBDIAA), is in keeping with the SEC’s renewed focus on a more robust examination program. While onsite, the … Continued
One Phish, Two Phish, Red Phish, Blue Phish: How to Detect and Mitigate Social Engineering and Ransomware Techniques
Ransomware attacks like WannaCry and NotPetya are increasing in both frequency and damage, routinely making headline news with their abilities to bring down networks of established companies. Yet these cyberattacks typically start by compromising the weakest point in your security chain – people – through simple or complex phishing techniques before spreading to other parts … Continued
DOL Fiduciary Rule Transition Period Extension to 2019 Requested
The Secretary of Labor, Alexander Acosta, made a court filing on August 9 requesting the Transition Period and Delay of Applicability for the Department of Labor Fiduciary Rule be extended from January 1, 2018 to July 1, 2019. This court filing included extending the deadlines for the following Prohibited Contract Exemptions: Best Interest Contract Exemption … Continued
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