Imagine a world where money market funds are regulated like banks. Where hedge fund managers are not only registered with the SEC, but hedge funds themselves are limited in the amount of leverage they can use and must disclose their inner workings. And where the largest U.S. financial institutions face constraints on their proprietary investment […]
Get solutions for the top marketing challenges that advisers face from ACA Compliance Group managing director Kimberly Daly
Stern Tannenbaum law firm partner Aegis Frumento on how to get the most from reading an SEC administrative order or court complaint.
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.
ACA Aponix Director Pascal Busnel on the most common cybersecurity myths that may cause firms to spend resources where they may not be needed.
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.
Sutherland law firm partner Brian Rubin shares the most urgent cybersecurity steps for investment advisers.
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.