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Is Your Firm Audit Ready for Cybersecurity?

Is Your Firm Audit Ready for Cybersecurity?

Cybersecurity is a growing concern for individuals and businesses alike. More and more people are wanting to improve their online security whether that’s through monitoring potentially harmful activity they see or using a promo code for torguard to get a cheap...

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Cybersecurity Compliance for Asset Management

Cybersecurity Compliance for Asset Management

Let’s be real for a second, running a company of any size is a tedious and exhausting job. You are busy, your team is busy, and we get that. Unfortunately, being busy and focused on the task at hand is no excuse for letting your company slip through the cracks when it...

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Why Asset Managers Should Invest in Business Continuity

Why Asset Managers Should Invest in Business Continuity

You know that business continuity (BC) plan that you keep meaning to write but put off for another day?It’s time to stop procrastinating because some changes to business continuity are on the horizon. The SEC is proposing a new rule that would require SEC registered...

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SEC Issues Updated Cybersecurity Examination Initiative

Since January 2014, the Office of Compliance Inspections and Examinations (OCIE) within the SEC has made it a priority to examine the governance and supervision of information technology systems, operational capability, market access, information security, and...

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