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cyber security services

Compliance and Consulting, Cyber Security Services

Beware Phony FINRA Phishing Schemes

There has been a recent wave of cybercriminals impersonating the Financial Industry Regulatory Authority (FINRA) with phishing emails.View
compliance and consulting article

Broker Dealer Audits, Compliance and Consulting

Certain Smaller Broker-Dealers Have Opportunity to Extend Filing Deadline of Annual Reports

On February 12, 2021, the SEC issued an order that extends the filing deadline for annual audit and related reports an additional 30 days for smaller broker-dealers that meet certain conditions.View
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Virtual Annual Investment Industry Seminar

Save the date for Tuesday, November 17th for this online educational investment industry seminar.View
compliance and consulting article

Compliance and Consulting

SEC Modernizes the Accredited Investor Definition

On August 26, 2020, the SEC adopted amendments to its "accredited investor" definition in an effort to expand investment opportunities while maintaining appropriate investor protections.View
gips compliance article

GIPS Compliance

Are Your GIPS Policies and Procedures Up-To-Date in Advance of GIPS 2020?

As we draw near the December 31, 2020 adoption date for GIPS 2020, it is important for firms to review the updated standards to determine whether any changes should be made to their existing policies and procedures to remain compliant.View
gips compliance article

GIPS Compliance

Error Correction and Materiality Under GIPS 2020

The error correction rules for firms under GIPS 2020 seem pretty straightforward, except for one item: how to determine whether an error is material.View
operational due diligence article

Operational Due Diligence

Operational Due Diligence During a Pandemic

As COVID-19 continues to present new challenges, so too must operational due diligence professionals adapt, developing new policies and procedures to ensure non-investment risks are addressed.View
gips compliance article

GIPS Compliance

Hedge Funds and Private Equity Firms Unable to Participate in PPP Loan Program

Hedge funds and private equity firms will be unable to take advantage of PPP loans.View
compliance and consulting article

Compliance and Consulting

OCIE 2020 Cybersecurity and Resiliency Observations

On January 27, 2020, OCIE released a 13-page report detailing observations relating to cybersecurity and best practices.View
compliance and consulting article

Compliance and Consulting

OCIE 2020 Examination Priorities

On January 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2020 Examination Priorities. Compliance continues to be a major focus.View