Monthly Archives: October 2015

Beware of LinkedIn Phishing

Received an email from a client today – someone tried to phish their LinkedIn account.  Here is what happened: sent to email address that they don’t typically use for LinkedIn (but could happen to any email address) looked very similar … Continue reading

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SEC Will Recommend 3rd Party Compliance Reviews for RIAs

From Cipperman Compliance Services, LLC The SEC’s Director of the Division of Investment Management, David Grim, testified that the Division is developing a recommendation that “would establish a program of third-party compliance reviews” for registered investment advisers.  Mr. Grim said … Continue reading

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SEC Official Outlines CCO Job Requirements

Repost from Cipperman Compliance Services LLC SEC Chief of Staff Andrew Donohue said that a competent Chief Compliance Officer must develop in-depth knowledge in 9 categories.  Mr. Donohue said that a CCO must (i) have “first-hand knowledge” of applicable laws … Continue reading

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Modern Compliance book available

I am please to announce that I recently received a copy of Modern Compliance: Best Practices for Securities & Finance.  This book, compiled and edited by David H. Lui and John H. Walsh is a wealth of information on compliance … Continue reading

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OCIE Cybersecurity Examination Initiative

The September 15, 2015 OCIE Cybersecurity Examination Initiative discusses the items that the SEC will be focusing on: Governance and Risk Assessment: Examiners may assess whether registrants have cybersecurity governance and risk assessment processes relative to the key areas of … Continue reading

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