Business Continuity Planning: a Real-World Test

Mar 23, 2020 5:20:55 PM

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. A story has circulated over the years that an independent broker-dealer in Garland, Texas nam...
 

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

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. While this is welcome news given the ex...
 

Diversity & Inclusion: Steps Forward in the Asset Management Industry

Dec 12, 2019 11:40:00 AM

Foreword by Bo Howell (July 2020) Ever since my service in the U.S. Navy nearly two decades ago and continuing through my time in both the federal government and private companies, I’ve experienced the benefit of serving on a diverse team that bonds together to achieve a common goal. As a father in a multi-racial family, I want to serve as a role model for my sons, my community, our industry, and ...
 

Can Technology Save an Industry?

Apr 5, 2019 12:05:00 PM

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 th...

GDPR in a Nutshell and the Titan Platform*

Sep 21, 2018 8:30:07 AM

* The information in this article is provided for informational purposes only.  No information should be construed as legal advice from Advanced Alternative Investment Systems or the Titan Technology Group, Ltd. or the individual author nor is it intended to be a substitute for legal counsel. Introduction General Data Protection Regulation (“GDPR”) falls under the European Union’s data privacy and...
 

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

Sep 17, 2018 9:05:51 AM

Dear readers,  Thank you. Since we launched this blog in March 2018, we've seen its subscription grow to over 500 people. We hope that means we're delivering content that you find exciting and unique. (Please let us know if that is not accurate.) But over the past few months, we've noticed a trend in our posts, a trend that reflects our growing interest in the intersection of investment management...