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Risk Management (51)
Your search for Risk Management returned 51 results.
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11/29/2018 | Content area: Investment Adviser
The commencement of OCIE’s “Cyber 3” initiative (IA Watch, March 27, 2018) is expected at any time now, but the specter of being caught in a regulator...
11/09/2017 | Content area: Investment Adviser
Evidence supports delaying the SEC’s liquidity risk management program rule and its related reporting requirements at least one year would be appropri...
11/02/2017 | Content area: Investment Adviser
Treasury Department Secretary Steven Mnuchin believes the regulatory framework for the asset management industry “can be significantly improved.” With...
4/04/2017 | Content area: Investment Adviser | Private Fund
This is a matrix for an enterprise risk management structure within a firm, courtesy of Fred Shane, chief risk officer at Commonwealth Financial Netwo...
4/04/2017 | Content area: Investment Adviser | Private Fund
3/12/2017 | Content area: Investment Adviser
Click here to open a sample risk assessment matrix contributed by one of your peers.
10/13/2016 | Content area: Investment Adviser
Sweeping reforms aimed at enhancing transparency and modernizing reporting requirements for mutual funds, exchange-traded funds and other registered c...
5/26/2016 | Content area: Investment Adviser
Look for the SEC to finalize its recommended rulemaking on liquidity risk management and the use of derivatives “this year.” In a May 20 address at th...
3/23/2016 | Content area: Investment Adviser
Like many SEC-registered investment advisers, the Commission itself has no shortage of key information technology initiatives it would like to pursue....
3/01/2016 | Content area: Investment Adviser
Theresa Manderski, first VP, Compliance & AML Officer at Davenport & Company in Richmond, Va., shares a copy of her firm's AML risk assessment.
1/13/2016 | Content area: Investment Adviser
Cyber-attacks against financial institutions to extort payment in return for the release of sensitive information are on the rise (IA Watch, Nov. 19, ...
4/09/2015 | Content area: Investment Adviser | Private Fund
The gift arrived just days before last Christmas. Four SEC examiners were coming to town, and would arrive just as the New Year began. What was even m...
3/11/2015 | Content area: Investment Adviser | Private Fund
Back in December, SEC Chair Mary Jo White announced a plan to “enhance and strengthen” the Commission’s regulatory programs in response to the ever-ch...
3/05/2015 | Content area: Investment Adviser | Private Fund
It’s right there in black and white in current SEC exam document request letters. Before arriving on-site at an advisory firm, Commission examiners ar...
12/17/2014 | Content area: Investment Adviser | Private Fund
Evolving technological innovation, ever-increasing cyber incidents and the constant need to secure consumer data all have financial services firms’ la...
11/20/2014 | Content area: Investment Adviser
The results aren’t particularly surprising but surely can’t be ignored any longer. A PricewaterhouseCoopers survey of more than 750 money managers, ba...
7/14/2014 | Content area: Investment Adviser | Broker-Dealer
We recently shared tips for how investment advisers should conduct their risk assessment (IA Watch, May 5, 2014). Now, we take up the task for broker-...
5/20/2014 | Content area: Investment Adviser | Private Fund
This is a sample annual employee questionnaire, which comes courtesy of Core Compliance & Legal Services in San Diego.
5/19/2014 | Content area: Investment Adviser | Private Fund
A peer shares a copy of the firm's conflicts inventory worksheet.
5/05/2014 | Content area: Investment Adviser | Private Fund
The SEC doesn't tell you how you must analyze your firm's risks, but examiners surely would notice if you don't do the job at all or don't do it well ...


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