SEC Allows Broader Use of Social Media for Investment Manager Advertising Apr16

Posted by & filed under White Paper.

Social

Social media has been a game changer when it comes to consumers and their ability to research and review companies or services online. Many service providers, including investment advisors, have some form of social media presence including blogs, Twitter, LinkedIn, and others. The SEC recently issued guidelines on what is, and what is not, acceptable… Read more »

The Inevitable Cyber-Attack: Are You Prepared? Apr4

Posted by & filed under White Paper.

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The following white paper has been developed by eSentire, Inc. and The Regulatory Fundamentals Group LLC to help you understand why SEC Commissioner Luis Aguilar would conclude that a major cyber-attack is inevitable. Are you prepared for the inevitable? For those who cannot provide an unqualified “yes”, this white paper provides a detailed background and specific steps senior management, compliance… Read more »

What Hedge Fund Managers and Directors Need to Know About Their Liability Mar12

Posted by & filed under Compliance.

Richard A. Maloy, Jr, CIC, CRM; CEO of Maloy Risk Services, Inc. has written a white paper discussing the potential liability that managers and directors face today. Some of the key points of the paper include the risk of high cost litigation, Obama’s continued pressure on the financial industry, and regulatory investigations. In this current… Read more »

Understanding Investor Due Diligence Jan13

Posted by & filed under Hedge Fund Investors.

Guest white paper by Patrick J. McCurdy of Merlin Securities — The investor due diligence process has evolved with the growth of the hedge fund industry. What was once a short and rather perfunctory process has grown into one which today is highly quantitative and detailed. While there is no one-size-fits-all formula for investors, one… Read more »