Tag: InfoSec

Serious Security Flaw Discovered in Three Widely Used VPNs – Update Now!

Virtual Private Networks (“VPNs”) are a secure way for employees to access firm files remotely, whether working from a home office or while travelling. They work by creating an encrypted connection from a laptop or PC to a firm’s server and allowing users to securely access and transfer files while out of the office. Access … Continued

The Challenges of Compliance for State-Registered Advisers

Are you the designated chief compliance officer of a state-registered investment advisory firm? If so, you must be clocking many extra hours these days! It seems the state regulators are just as busy as the Securities and Exchange Commission. New Jersey, Massachusetts and Nevada have all introduced their own Fiduciary duty standard rules. The North … Continued

What Happens When Your CRM is Breached?

Even your client relationship management (CRM) software may not be safe from hackers. That’s the lesson some advisers are learning after an announcement by CRM vendor Redtail that it discovered in March 2019 that its cloud-based software had left some sensitive client data publicly accessible. The data left vulnerable included first names, last names, addresses, … Continued

The SEC Data Breach And Impact On New Reporting Rules

The U.S. Securities and Exchange Commission disclosed recently that its Electronic Data Gathering, Analysis and Retrieval (EDGAR) system, a comprehensive database of filings by public companies and other industry participants, was hacked in 2016 and that the intruders may have traded on the information. The announcement comes on the heels of the mutual fund industry … Continued


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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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