Another lesson provided by the hack is to have employees delete old e-mails, or at least route them to be auto-archived, says the CCO
Risk alert details observations gleaned from exams of more than 50 fund complexes and nearly 100 investment advisers
“While some believe they will be ready by the [Dec. 21st] deadline with fully operational systems, others believe more time is necessary,” reads the DOL’s ...
Requirement on CCO has SEC Commissioner Hester Peirce concerned about "undue pressures" being placed on CCOs
Several GC/CCOs tell RCW that they would separate the roles if they could
The COVID-19 crisis drove up the cost of compliance by nearly $50 billion in the U.S. and Canada, a new report finds. LexisNexis Risk Solutions ...
Here’s the scenario: A SEC exam heads toward enforcement. Would a CCO raise her liability risks by signing the firm’s response to a deficiency letter?
There are economic consequences to “extreme weather,” which can disrupt “productivity and supply chains.” In addition, “severe droughts, wildfires, and flooding are expected to continue ...
Other rules that may be coming soon could mandate reporting of cybersecurity incidents, help RIAs understand the custody rule and add disclosures to Form ADV ...
Ransomware-related SARs filings in the first six months of this year already exceed 2020's total
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