NEWS & GUIDANCE
Don’t even think about encrypting everything. That would be unfeasible. But you should know where your firm stores personally identifiable information (PII) – such as client account and Social Security numbers – and encrypt that data. “There’s a reason the bad guys are after that. It’s monetizeabl...
An official of a sovereign wealth fund flies into town to check out your firm. If you treat the visitor to a nice dinner, must you worry that you’ve just violated the Foreign Corrupt Practices Act? The short answer is no. But “it can’t be an extremely lavish dinner. It has to be a reasonable expen...
The punishment for a CCO that failed to adequately disclose a conflict of interest that generated $1 million in commissions includes a 12-month industry bar. The unusual action taken by the SEC against Alan Gavornik, former CCO at Concord Equity Group Advisors in Matawan, N.J., includes a $150,000 f...
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