February 11, 2019
- This Week's Issue
- Monitoring vs. Privacy: Best Practices to Stay in Compliance with a Shifting Line
- Fraud Charges Demonstrate that Actions Must Match Disclosures
- OCIE Exam Priorities List is a Tool, Not a Compliance Blueprint
- Note to Readers
Stern Tannenbaum law firm partner Aegis Frumento on how to get the most from reading an SEC administrative order or court complaint.
Get solutions for the top marketing challenges that advisers face from ACA Compliance Group managing director Kimberly Daly.
Learn which cyber threats and remedies are real and which are myths from ACA Aponix senior principal consultant Pascal Busnel.
Find out the difference an ethics, rather than a compliance, perspective makes at an advisory firm from former Ethics and Compliance Officer Association COO Timothy Mazur.
Proskauer law firm partner and former SEC Division of Investment Management deputy director Robert Plaze on why the costs of non-compliance go way beyond an SEC penalty.
Find out from Blue Edge Capital CCO Margaret Fretz what chief compliance officers may be liable for and best practices to make sure you are protected.
Sutherland law firm partner Brian Rubin shares the most urgent cybersecurity steps for investment advisers.