The role of the Chief Compliance Officer is endowed with great responsibility. From the Rule: “An adviser’s chief compliance officer should be competent and knowledgeable regarding the Advisers Act and should be empowered with full responsibility and authority to develop … Read More ›
Learn how to tackle cyber threats and protect your firm against IT security breaches. The session explores the regulatory landscape, discusses key steps in establishing internal controls, and helps set you on a pathway for a successful business continuity plan. Other … Read More ›
In November, the SEC issued its 2014 Agency Financial Report. Not exactly exciting reading, except for Management’s Discussion and Analysis (“MD&A”). In MD&A, we can skip down to an area that directly impacts us: FY 2014 Year in … Read More ›