Text messaging. We’re all doing it. It’s not only easy to do, but also a highly effective and efficient way to communicate. According to a survey conducted by Smarsh, a firm specializing in cloud-based archiving solutions, text messaging is the most requested channel for business use by employees in financial firms, up over 20 percent…

One of the SEC’s FY 2016 top priorities is to examine approximately 14% of all registered investment advisers. Doing so will require hiring an additional 225 examiners. To streamline its efforts, the SEC will be focusing on examining advisory firms that have never been examined. In FY 2014, the SEC examined 10% of approximately 11,500…

Andrew Ceresney, Co-Director of the Division of Enforcement at the Securities and Exchange Commission (“SEC”), recently spoke at the SIFMA 2015 Anti-Money Laundering Conference where he emphasized the importance of maintaining a strong culture of compliance within the firm. Like tailoring a suit, developing a strong compliance culture means customizing a compliance program that fully…

© 2015-2017 INTEGRATED COMPLIANCE SOLUTIONS GROUP, LLC