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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This past Saturday was not unlike most of my recent Saturdays. I woke up around 7:30, fed my seemingly perpetually starving Siamese cats, and contemplated the end of what was yet another *fabulous* infrastructure week here in the good ole U.S. of A, all before heading out to stress shop
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This week the 5th annual Global Fund Forum descended upon New York City. With over 400 registered attendees, including almost 300 fund managers and allocators, it was by far the largest GFF to date. The program was packed with content from start to finish
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Decentralised blockchain businesses and applications are proliferating in Europe just as they are in the U.S. and other jurisdictions. As is often the case, legal and regulatory developments in the U.S. have tended to dominate the headlines with the SEC bringing cases against a large number of token issuers on the basis that such tokens are ‘securities’ for U.S. regulatory purposes
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The following report is provided free each week by McAlinden Research Partners exclusively to members of Hedge Connection. Today’s issue cluster focuses on Laser Tech
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