Category

Compliance

Your Email Is Secure… and Other Myths

By | Compliance

If you’re still sending your clients’ full account numbers and other personal information in unencrypted email, you might as well write out all their information on a tiny letter, attach it to a pigeon’s foot, and send it out into the great wide open for anyone to find. It might seem like a ridiculous analogy, but the security risk is the same.

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Authenticate Your Client List with OFAC Views

By | Compliance

OFAC (Office of Foreign Assets Control) regularly posts updates to its list of Specially Designated Nationals (SDN) and Blocked Persons that identifies individuals and companies owned or controlled by, or acting for or on behalf of, specific countries as well as individuals, groups and entities, such as terrorists and narcotics traffickers.

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Enhanced Data Reporting – A Regulatory Focus for 2015

By | Compliance

Just as a new year seems to give new life to people and businesses everywhere, it also brings new initiatives and focus to organizations like the Securities and Exchange Commission (SEC). In a recent speech to the New York Times DealBook Opportunities for Tomorrow Conference, Chair Mary Jo White spoke about what the SEC will be focusing on in the year ahead for the asset management industry.

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The Era of the Random Account Spot Check is Over

By | Compliance

Many advisors know Riskalyze for its invention of the Risk Number, which helps you show prospects they’re invested wrong, and prove to clients they’re invested right. But a newer product from Riskalyze is applying the power of the Risk Number to the problem of compliance — and with seamless Orion integration, it can be just a click away.

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