Key Crypto Trends to Watch in 2022
As cryptocurrency continues to gain popularity, there are several key issues that advisers should keep in mind as they work with their clients.
March 18, 2022
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Examining Best Execution and Trading in the Current Landscape
Advisers should be prepared for more scrutiny by clients and regulators on this issue.
February 10, 2021
The DOL’s ESG Proposal: Overview of Key Themes in Comment Letters
DOL's proposal, “Financial Factors in Selecting Plan Investments,” relates to ESG investing on behalf of employee benefit plans subject to ERISA, and investment funds that hold “plan assets” for purposes of ERISA.
October 17, 2020
How the Characteristics of Digital Assets Affect Compliance with the Custody Rule
When Satoshi Nakamoto published a white paper describing an “electronic peer-to-peer cash system” called Bitcoin to an obscure cryptography mailing list in 2008, the last thing on their mind was likely the U.S. federal securities laws.
July 27, 2020
Maximizing the Benefits of Compliance Technology
Compliance technology software has become increasingly sophisticated with fully integrated solutions that can track multiple tasks in different functional areas on a common platform optimizing compliance and risk management programs.
July 10, 2020
NY City Bar Association Issues Report on CCO Liability: New Recommendations for the SEC
In recent years, essential gatekeepers have faced increased regulatory focus on holding them personally liable for institutional failures, often arising out of assessments made in hindsight regarding what compliance officers or programs ought to have detected or prevented.
April 27, 2020
Compliance Training: A Marathon Without a Finish Line
As the responsibility to maintain compliance with SEC rules and regulations rests on all associates and supervised persons, providing compliance training to all personnel is critical and contributes to a compliance and business culture where legal, ethical practices are the norm.
February 10, 2020
A Primer on the Difference Between Cyber and Financial Institution Fidelity Bond Insurance Policies
With the rise in IAA annual survey respondent confirmations of having had a “cybersecurity incident” reaching 39 percent in 2019 as compared to 18 percent in 2016, getting the answer to the question of “Do I have the right coverage?” is an increasingly important consideration.
February 10, 2020