Upcoming ComplianceCasts™

The Importance of Effective ADV Disclosure: Staying Ahead of the Regulators

Broadcast Date: Wednesday, March 20 at 2-3 pm ET

This ComplianceCast will discuss how firms can mitigate risk by having effective disclosure in their Form ADV Brochure. Our panelists will be CSS Ascendant Senior Consultant Ariana Monchick and Jessica Matelis, Partner at Foley & Lardner and former Senior Counsel at the SEC Division of Enforcement. They will discuss:

  • Required disclosures
  • The types of conflicts firms should consider when crafting disclosure
  • Areas that are receiving increased scrutiny from the SEC

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Compliance 2.0 – Being a Strategic Partner in Your Firm

Compliance as a profession continues to evolve. With Enron, Bernie Madoff and numerous other failures paving the way for rulemaking across industries and nations, the days of drawing a short straw, getting drafted into a compliance role and operating in isolation outside of the business are – or should be – ancient history. Since the … Continued

Finding the Phish in Your Firm’s Pond

It’s Friday afternoon, and you’re planning to leave early and get a jump start on your weekend. You receive an email with the subject “Office 365 – Failed Login Attempts – Password Reset Required Immediately!” You wonder who tried to access your account or whether you forgot to logout of your email on the public computer at the hotel business center.

Securing Your Investments: Why Cybersecurity Matters for Private Equity Investments

Would you buy a car without taking it for a test drive? It seems obvious you would want to know the vehicle has all its parts, and that those components work together to make the vehicle operate properly.