Investment Advisers

The five-page document comes packed with suggestions, from the six key components of a good cybersecurity program to what actions to take after discovering a ...
A CCO peer shares the table of contents from the advisory firm's compliance manual
A peer shares a DOE exam's document request letter
Check out the format DOE examiners prefer for your trade blotter
A peer shares a copy of an SEC DOE exam letter that drilled down on cybersecurity
A source shares a compilation of cybersecurity questions asked of advisers by SEC examiners
A peer shares a copy of the FINRA exam letter that focused on Reg BI compliance
ERISA-covered plans often hold millions of dollars or more in assets and maintain personal data on participants, which can make them tempting targets for cyber-criminals. ...
Hester Peirce
I suspect that many of you are wondering what other changes you have to look forward to under the new leadership at the SEC and ...
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