Monthly Archives: February 2015

Cybersecurity-getting staff interested

Posted on February 24, 2015 by cindihill

I was listening to a webinar the other day and one of the presenters said something that really got my attention. A question was asked how do you get employees to care about cybersecurity. The response: If a firm no longer … Continue reading →

Posted in Uncategorized | Tagged compliance, Compliance Testing, cybersecurity, IA regulations, Investment Advisor, rules | Leave a comment

Cybersecurity – The Weakest Link

Posted on February 19, 2015 by cindihill

It has been said that clients are the weakest link when it comes to cybersecurity. They aren’t always very tech savvy. They typically send non-public private information via email without securing the data – an open invitation. Often they use the … Continue reading →

Posted in Uncategorized | Tagged compliance, cybersecurity, IA regulations, Investment Advisor | Leave a comment

Insider Trading-Prevention

Posted on February 10, 2015 by cindihill

Below is a list of pre-emptive actions you can take to prevent the firm’s exposure to Insider Trading: 1. Annual Investment Adviser Representative attestations of the Code of Ethics, Compliance Manual, Outside Business Activities; 2. Thorough review of quarterly personal … Continue reading →

Posted in Uncategorized | Leave a comment

Annual Updating Amendments

Posted on February 6, 2015 by cindihill

All advisers must file an annual updating amendment within 90 days after the end of the firm’s fiscal year. Part of the annual updating amendment is a review of the firms Part 2A of Form ADV. Take time to do … Continue reading →