Social Engineering and Fraud: Detection and Prevention Tips

  • Section 206 of the Advisers Act
  • How to identify red flags
  • Steps to take to prevent fraud in your firm
  • Training your staff to be a second set of eyes

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Short Selling Restrictions – Staying Ahead of the Regulatory Curve

The market disruption due to COVID-19 placed extraordinary strains on reporting regimes. Periodic bans and reduced thresholds presented an additional burden for financial firms, and challenges for compliance departments to keep track of rapidly changing position limits, thresholds by market and timely disclosures. Join CSS experts on Tuesday, June 2nd at 10am EDT in the … Continued