Broker Dealer | Electronic Communication | Investment Advisers | Records Management

The Rise of Slack, Teams, Hangouts, Stride and Other Instant Messaging Apps for the Remote Workforce – Are your Books and Records Practices up for the Challenge?

The ever-increasing collaboration and instant messaging platforms like Microsoft Teams and Slack have become more popular and have changed the way we interact with our co-workers.  If you are a…

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…