Insights

October 01, 2021

Our homes are becoming increasingly connected to the outside world through "smart" devices, which work together over your Wi-Fi network to make your home more comfortable, safe, and convenient. Common smart devices include thermostats, televisions, light bulbs, and surveillance systems.

October 01, 2021

As cyber security attacks continue to increase in frequency and complexity alongside evolving technologies, the COVID-19 pandemic, and remote work and school, it is essential to prioritize protecting your identity online. Here are some ways you can control the amount of personal information that is available online.

October 01, 2021

The recent increase in high-profile cyber incidents have put millions of people around the world at risk for identity theft and other cyber-crimes. This blog post contains tips and information you can share with your family and friends about staying safe online.

September 27, 2021

FINRA recently issued a notice to members reminding them of their third-party vendor supervisory obligations. It provides guidance regarding conducting diligence, onboarding the vendor, and supervision of the vendor's activities.

September 27, 2021

We're pleased to announce that we've again partnered with the National Society of Compliance Professionals (NSCP) to provide financial services firms with an opportunity to gain insight into cybersecurity compliance programs across the industry.

September 24, 2021

In this blog we will try to address how fund managers can overcome this fundraising hurdle, and some key misconceptions.

September 23, 2021

There are just 100 days until the Investment Firm Prudential Regime #IFPR comes into force. Are you ready? We've created a checklist capturing 13 considerations for successful implementation of the required changes ahead of the 1 Jan 2022 deadline.

September 22, 2021

Our Ransomware 101 blog series addresses multiple aspects of the ransomware issue, including what you should know and what you should do to protect your firm, your clients, and your finances. In part one, we discussed the evolving and growing threat of ransomware. In this article (part two), we’ll provide a framework for what your organization can do to prevent and detect ransomware attacks.

September 21, 2021

On September 16, 2021, the National Futures Association (“NFA”) issued a Notice to Members I-21-28 regarding changes to the definition of a branch office under NFA Interpretive Notice 9002. The rule was a response from the NFA in the recent trend in hybrid work environments as more employees are working from their homes.

September 17, 2021

Learn more about recent regulatory developments industry insights in our Hedge Fund Quarterly Newsletter.