Cindi Hill
-
Join 456 other subscribers
Archives
- October 2022
- August 2021
- June 2021
- May 2020
- April 2020
- March 2020
- March 2019
- January 2019
- December 2018
- June 2018
- May 2018
- March 2018
- February 2018
- December 2017
- November 2017
- October 2017
- September 2017
- July 2017
- June 2017
- May 2017
- April 2017
- March 2017
- February 2017
- January 2017
- December 2016
- November 2016
- October 2016
- September 2016
- August 2016
- July 2016
- June 2016
- May 2016
- April 2016
- March 2016
- February 2016
- January 2016
- December 2015
- November 2015
- October 2015
- September 2015
- August 2015
- July 2015
- June 2015
- May 2015
- April 2015
- March 2015
- February 2015
- January 2015
- December 2014
- August 2014
- July 2014
- April 2014
- March 2014
- February 2014
- January 2014
- December 2013
- September 2013
- August 2013
- July 2013
- May 2013
- April 2013
- February 2013
- January 2013
- November 2012
- September 2012
- August 2012
- July 2012
- June 2012
- May 2012
- April 2012
- March 2012
- December 2011
- September 2011
- August 2011
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
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
Posted in Uncategorized
Tagged compliance, Compliance Exam, IA regulations, Investment Advisor, SEC regulations
Leave a comment
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
Posted in Uncategorized
Tagged Chief Compliance Officer, compliance, SEC regulations
Leave a comment
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
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
Hill Compliance Advisors' Blog 