Emerging technology transforms the financial services industry generally and regulatory compliance specifically. Read about the latest relevant technology developments here.
Virtualization for Startups and Small (or Not So Small) Businesses
In this age of cloud computing, smaller businesses have had increasing access to enterprise-class virtualization tools that were usually reserved for the largest organizations.
If You Hate Changing Your Password, Then Read This Article!
The National Institute of Standards of Technology (“NIST”) says you don’t need to change your password until it is compromised, which is like saying you don’t need to lock your door until a burglar has robbed you.
Rise of the Machines, Part 3: How Big Data is Changing More Than Just Portfolio Management
In Part 3, we talk about how asset managers are going to need to harness the power of big data to keep up with regulatory requirements.
Tips for a More Secure Client Relationship: A Commentary on OCIE's Risk Alert on Privacy and Data Protection
Here are examples of the most common deficiencies or weaknesses identified by OCIE staff in connection with the Safeguard Rule.
Rise of the Machines, Part 2: Changing Portfolio Management
In Part 2, we dive deeper into the key adaptations of an investment advisor. Specifically, we look at how automation is changing portfolio management and what future portfolio managers should expect.