Mother nature can deliver beautiful weather and at times devastating storms as Texas and soon Florida and more than likely the south east of the US will experience. The economic impact could be as high as $75 Billion. These events may bring to mind the importance of having a Disaster
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When it comes to Cyber Security the question isn’t “has your firm been hacked”, the question is “how often has it been attacked and to what extent?” Additionally, what are you doing about it? Are procedures and testing aligned with your systems and resources? Are your employees trained on how
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It’s all about the data. The SEC and FINRA want all the data they can obtain and then some. The SEC has successfully implemented NEAT and MIDAS, which collect trading data and can be used in a micro and macro environment – predicting trends, insider trading and other non-compliance actions.
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The Fall is quickly coming to an end and your compliance year-end tasks are now in front of you. Have you reviewed your checklist of required exams and tests? Have you reviewed and updated your compliance manuals with current rule changes and amendments? There were several significant changes again this
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