Monthly Archives: April 2017

SEC Explores Ways to Strengthen Compliance of Independent Advisers

SEC Explores Ways To Strengthen Compliance Of Independent Advisers (Mark Schoeff, Investment News) – At a recent compliance conference, the acting director of the SEC’s Office of Compliance Inspections and Examinations (OCIE) noted that the SEC has increasing concern about … Continue reading

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Microsoft Office Vulnerability Fix

From True North Networks WARNING – There is currently an aggressive attack campaign underway against a previously undisclosed vulnerability in Microsoft Word, which can be used to quietly install different kinds of malware — even on fully-patched computers. The bug … Continue reading

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DOL Rule Updates

The Department of Labor (“DOL”) published its final rule delaying the applicability dates of its rule changing the definition of the term “fiduciary” (the “Fiduciary Rule”)  by 60 days, as proposed.  The new timeline for compliance with the Fiduciary Rule … Continue reading

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