August 30, 2023 in Compliance

How Bipsync minimizes the risk of SEC fines

This month saw some of the world’s biggest broker-dealers fined a collective $555million by the US Securities and Exchange Commission (SEC). The offense? “Widespread and long standing failures” surrounding their…

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August 23, 2022 in Compliance, Research Management

Global regulations call for smarter ESG management

Environmental, Social, and Governance (ESG) criteria continue to climb up the global agenda as challenges facing the climate and its future become startlingly clear for individuals and industries around the…

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October 29, 2018 in Compliance

Investment Management Cybersecurity Risk and Compliance in 2018

And how to align your research process, cybersecurity posture and compliance

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October 24, 2018 in Compliance

Research Management Essentials for Industry Compliance

Your checklist for key RMS assessment areas from record keeping and data management to visibility and controls [Best Practice Guide]

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October 10, 2017 in Compliance

A Month in Cybersecurity

Breaches, SEC Observations, and What it Means for You

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April 20, 2017 in Compliance, Research Management

Research Management that’s Compliant by Design

Modern RMS and Why the Second Mouse Gets the Cheese

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February 9, 2017 in Compliance, Research Management

What Evernote’s Privacy U-turn Teaches Us About Enterprise Security and Compliance

And Why Investment Managers Should Take Note

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May 24, 2016 in Compliance

Cybersecurity and the threat to Hedge Funds

The SEC’s latest, historic recognition and broken windows – what it means for your fund.

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April 27, 2016 in Compliance

Compliance and The Importance of Being Earnest

How to Create a Positive Culture of Compliance 

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February 12, 2016 in Compliance

Hedge Fund Cybersecurity – What’s Changed?

The SEC Cybersecurity Initiative and the Shift in the Arms Race

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