Monthly Archives: February 2015

Cybersecurity-getting staff interested

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

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Cybersecurity – The Weakest Link

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

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Insider Trading-Prevention

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

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Annual Updating Amendments

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

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