Cybersecurity for SEC Registered Investment Advisors Oct10

Posted by & filed under Cybersecurity, White Papers/ Thought Pieces.

The Office of Compliance Inspections and Examinations (OCIE) of the SEC has recently reiterated guidance that they plan to evaluate the cybersecurity practices of Registered Investment Advisors (RIAs) as part of their National Exam Program (NEP). The OCIE will be evaluating advisers in regards to their ability to fend off cybersecurity attacks and respond appropriately if an incident occurs. To guard against attacks and avoid OCIE penalties, firms should take steps now to review and enhance their current cybersecurity posture

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How Investment Managers Can Leverage Network Effects to Scale their Business Jul26

Posted by & filed under Technology.

‘Network Effects’ is the defining phenomenon representing the modern digital economy. With the growth and dominance of the FAANG (Facebook, Apple, Amazon, Netflix and Google) stocks over the last 2 decades, Network Effects have been identified as the overwhelming creator of value in the economy. They have propelled companies to grow exponentially, leapfrog competition, create defensible moats and dominate entire economic segments

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