FollowFollow After five months of review, the SECΓÇÖs Office of Compliance Inspections and Examinations (OCIE) has released a Risk Alert regarding compliance and process protocols during the era of COVID-19. As the pandemic continues, investment management firms have...
FollowFollow Asset management firms across the industry are scrambling to maintain business continuity during the current crisis. While disaster recovery plans are critical and required, they cannot anticipate every potential business threat. Even three months ago, no...