Business Continuity Planning: a Real-World Test

Mar 23, 2020 5:20:55 PM / by Bo J. Howell posted in Investment Advisers, Investment Managers, Brokers, Compliance Testing, Coronavirus, BCP

Ever since the SEC and other regulatory bodies (i.e., FINRA) identified the possibility of “significant business disruptions” many years ago and mandated that registrants create, maintain, and test a Business Continuity Plan (“BCP”), these plans have rarely been taken very seriously until they are needed.

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SEC Provides Conditional Relief to Investment Advisers and Investment Companies Impacted By Coronavirus – But Should You Use It?

Mar 18, 2020 12:15:00 PM / by Charles Black posted in Investment Advisers, Investment Managers, SEC Updates, Coronavirus

On March 13, 2020, the SEC announced regulatory relief for investment advisers and investment companies who may be affected by the coronavirus.  The SEC is recognizing that limits on travel, reduced personnel and other business disruptions as a result of the coronavirus may cause delays in meeting regulatory filing deadlines and other regulatory obligations.

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Diversity & Inclusion: Steps Forward in the Asset Management Industry

Dec 12, 2019 11:40:00 AM / by Dina Tantra posted in Investment Advisers, Investment Managers, Dina Tantra, Diversity

Foreword by Bo Howell (July 2020)

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Can Technology Save an Industry?

Apr 5, 2019 12:05:00 PM / by Bo J. Howell posted in Investment Managers, mutual funds, Technology

At the Investment Company Institute’s Mutual Fund and Investment Management Conference, which was held in mid-March, Dalia Blass, the SEC’s Division of Investment Management, noted in her keynote speech that the regulator is concerned that competitive pressures are eliminating small fund families from the industry. As a result, the SEC is going to research whether barriers exist in the industry that prevents small fund families from competing against the largest players.   

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GDPR in a Nutshell and the Titan Platform*

Sep 21, 2018 8:30:07 AM / by Michelle Morgan posted in EU, GDPR, Investment Advisers, Investment Managers, Privacy, Service Providers, Compliance, Compliance Technology, EU Regulations

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Welcome to the crossroads of technology and investment management: IM Crossroads

Sep 17, 2018 9:05:51 AM / by Bo J. Howell posted in Investment Managers, CCO Tech, CCO Technology, Technology

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