Investment Advisers

Oh's tenure lasts under one week

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. ...

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 ...