Even Lawyers Have to Worry About Cybersecurity: Best Practices from PLI Program
I recently participated in a PLI Program on Cybersecurity Best Practices for Legal Service Providers 2018. While the program was
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I Want To Know More About…
Master The New ADV With An Easy Checklist
As you may know, as of October 1, 2017, the SEC’s amendments to Form ADV became effective. These changes require
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Year-End Compliance Check
Has your firm has met its compliance obligations for the year? December is typically a busy month for Registered Investment
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Would Your Social Media Activities Pass Regulatory Scrutiny?
Registered Investment Advisers (“RIAs”) know there are lots of benefits in using social media to grow their business. How else
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Advertising Do’s and Don’ts
Are you comfortable with your advertising practices? If they’re not on your radar, you may want to reconsider. The Securities and
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Category: Examinations & Audits
Regulatory Exam Prep You Can Do NOW
Ever wondered whether or not you’re prepared if the regulators come knocking on your door? Have you wondered what technology and easy to implement tools are out there to…
Category: Chief Compliance Officer
Client Alert
There has been a lot of discussion about the recent SEC request to indicate where an outsourced Chief Compliance Officer (CCO) is being used by a registered investment adviser…
by Saleemah Ahamed
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Compliance Firm Adherence Consulting Group Launches Mock Cyber Security Audit Program
New York, NY –Adherence Compliance Group announced today that it has developed a mock audit service for asset managers like hedge funds and registered investment advisors…
by Saleemah Ahamed
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by Saleemah Ahamed
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