IA Watch has obtained a second OCIE document request letter from its ongoing cybersecurity sweep. The good news for the industry is that the latest ...
This week can mark an important milestone for some large banks and investment advisers in the U.S. under the Foreign Account Tax Compliance Act (FATCA). ...
In this international world of finance, it’s not uncommon for states-side advisers to manage wealth held by clients on the other side of the Atlantic. ...
It’s now officially a trend—the SEC bringing enforcement actions against investment advisers for defrauding professional athletes. For the third time since March (IA Watch, May ...
A survey released June 16 by the Ponemon Institute and IBM Security reveals that the average cost of a data breach in the U.S. this ...
Your compliance program may be judged by SEC officials when they simply stop by and inquire about things. One outgrowth of the Great Recession ...
Documenting when an employee leaves and that you’ve turned off their access to your network makes too much sense in this world shaken so often ...
Dodd-Frank split the baby when it came to regulators overseeing swaps. The SEC would supervise security-based swaps (SBS) and the CFTC all others. That decision ...
The compliance job can resemble a rerun of your favorite TV show. You’ve seen it before but you can’t turn away. Take educating sales ...
Now that two separate lawsuits have been filed against the Department of Labor in hopes of eliminating its fiduciary duty rule, let’s consider their prospects. ...