How the SEC will evaluate “effectiveness” in 2025

How to maintain an effective compliance program and decrease risk and liability while increasing career potential.

We are finalizing our article on how compliance officers can demonstrate the economic return on investment for various compliance activities, such as training. Check back after October 31, 2024.

We are finalizing the announcement for the Practical Annual Compliance & Ethics Review (“PACER”) Program for Investment Advisers and Private Fund Advisers. This is a no-cost annual review service to fulfill Rule 206(4)-7 requirements. Check back after October 31, 2024 for more information.

The fallacy of correlating stress with success.

Risk assessment and risk management for voluntary and involuntary risks.

How our perception of likelihood for downside risks skews our assessment of risks.

A risk management mindset for an intuitive risk assessment and tolerance.