I don’t normally find FINRA tools to be of much use to IAs, but the Small Firm Cybersecurity Program Checklist is a rare and excellent exception that encourages a collaborative approach to understanding your firm’s risks and developing and implementing a thoughtful cybersecurity plan.Read More
Having sat through countless conference sessions and webinars focused on cybersecurity issues, I can say with 100% certainty that yours was the best I’ve seen. The practical/real world compliance angle separated it from all the others.
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Password managers encourage single-use, unique passwords and secure sharing of login credentials--protecting you from credential stuffing and account hijacking.Read More
Credibility is like currency - you spend it, earn more, and can lose it all.Read More
Actionable Whistleblower practices to help you save time and pass muster.
Instead of "partnering" with CCOs, the SEC should call for CEOs to partner with their CCOs.Read More
Make better decisions together with well-designed governance. Start with a written committee charter to create consensus on the purpose, composition, rules of the road, and duties of the committee.Read More
How ReGroup regrouped by redesigning our website - taking advantage of innovation and managing change.Read More
A written acknowledgment of professional standards serves to underscore the importance of confidentiality and the expected standard of care from compliance professionals.Read More
Take one minute to get unstuck.Read More
Learn where we're going by knowing where we've been. Something Ventured recounts the birth of venture capitalism with engaging storytelling and insightful commentary.Read More
Ten strategies for helping your CEO — and ultimately yourself.Read More