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Top 10 Tips for Updating your Compliance Program for 2021

As 2020 finally comes to a close, compliance officers face the unenviable job of performing their compliance program’s annual review under Advisers Act Rule 206(4)-7).  An essential element of that…

Business Continuity and Disaster Recovery | COVID-19 Pandemic | Regulatory Filings | State News

State Regulators Not Feeling So Graceful Now: Investment Adviser Representatives Who Relocated to Other States for Pandemic May Have to Register as Grace Periods End

State regulators recognize that the new “work from home” environment is here to stay.  Several have ended grace periods that allowed investment adviser representatives (IARs) to provide advisory services in…

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. …

Anti-Money Laundering | Business Continuity and Disaster Recovery | Code of Ethics | Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Form ADV | Investment Advisers Act | IT Compliance | Patriot Act | SEC News

2015 Regulatory Review for Investment Advisers, Hedge Funds and Private Equity Funds Part 1 of a 2 Part series

November 10, 2015 By: Jaqueline M. Hummel,  Managing Director  Toward the end of the year, I take an inventory of the changes to the SEC’s regulatory landscape in the past…