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2021 SEC OCIE Cybersecurity Exam Priorities

Yesterday the U.S. Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) released its 2021 exam priorities. In the letter the SEC highlighted that their focus remains the same from prior years with a slight shift in priorities and adjustment of focus. The SEC stated that they will review whether firms have

Have you considered the work from home risks?

Have you made the decision to allow employees to work from home or are you still contemplating the idea? If work from home is or will be the preferred method for the unforeseeable future, there are some things you should do to maintain your compliance and security posture. Here are some risks you should be

First Hedge Fund affected by the coronavirus

The coronavirus has hit a well-known Hedge Fund’s NY based office. An employee at Point72 tested positive last week. Employees were told to work from home while the office undergoes a deep cleaning. Headlines like this may leave you wondering what you should be doing for your business. As a follow-up to our article sent

2020-12-31T18:43:29-05:00March 10th, 2020|BCP, coronavirus, Hedge Fund, Investment Adviser|
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