Business Continuity and Disaster Recovery | COVID-19 Pandemic | Cybersecurity | IT Compliance

FBI and CISA Warn of Increased Hacking Attempts of Video Teleconferencing Applications… Steps You Can Take

CISA (The Cybersecurity and Infrastructure Security Agency within the Department of Homeland Security) recently released an alert calling attention to FBI guidance on hacking attempts of video teleconferencing (VTC) applications. …

Annual Compliance Program Review | Compliance Programs | Conflicts of Interest | Cybersecurity | Disclosures | Investment Advisers | Seniors and Vulnerable Investors

SEC’s Top 10 Hits: Investment Adviser Regulatory Review 2019 – Part 2

Here the remaining top 5 hits from our investment adviser regulatory review. (Check out Part 1 here.) The SEC remains concerned about information security, including cyber-related risks, and 2020 is…

Annual Compliance Program Review | Compliance Programs | Conflicts of Interest | Cybersecurity | Disclosures | Investment Advisers | Seniors and Vulnerable Investors

SEC’s Top 10 Hits: Investment Adviser Regulatory Review 2019 – Part 1

Based on regulatory developments from 2019, here are our suggestions for updates to your RIA compliance program for 2020. The SEC’s top regulatory initiatives in 2019 defined the standard of…

Annual Compliance Program Review | Blue Sky Filings | Broker Dealer | Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Conflicts of Interest | Cybersecurity | Disclosures | Examinations and Audits | Form ADV | Investment Advisers | Mutual Funds | SEC Risk Alert | Seniors and Vulnerable Investors | States | Supervision

SEC’s Top Eleven Hits: Investment Adviser Regulatory Review 2019

In addition to basic blocking and tackling, compliance officers often have the thankless job of performing the annual review of their compliance program required by Advisers Act Rule 206(4)-7.  As…