• Skip to primary navigation
  • Skip to main content
Logo
Open search bar
  • About
    • Meet the Team
    • Todd Cipperman
    • Why Choose Us
  • Services
    • Money Managers
    • Registered Funds
    • Private Equity
    • Broker-Dealers
    • CyberSecure - Funds
  • In The News
  • Outsourced CCO
  • Client Engagement
  • Resources
    • Helpful Information
    • Regulatory Exams
    • Executive Interviews
    • Blog
    • Podcasts & Videos
    • Best Practices
  • Contact Us

Our Take Blog

Home
Our Take Blog
Best of the Web – May 2014

Best of the Web – May 2014

Once again, we offer the “Best of the Web,” our monthly compendium of well-done, publicly-available insights from our clients, partners, competitors, and friends. For May, we highly recommend IAA’s compliance testing survey, which offers some best practices for compliance officers. Additionally, Morgan Lewis sheds some light on social media marketing, and Stradley Ronon gets you ready for an SEC cybersecurity exam. We hope you find these gems as valuable as we did.

Results: 2014 Investment Management Compliance Testing Survey Results (Investment Adviser Association)

https://www.investmentadviser.org/eweb/Dynamicpage.aspx?webcode=DocRedirect&wps_key=56fe4b74-0a1a-4333-999a-694151e5d86d&RURL=../eweb/docs/Publications_News/Reports_and_Brochures/Investment_Management_Compliance_Testing_Surveys/2014IMCTresults.pdf

 

CYBERSECURITY UPDATE: What Information Will Be Requested by the SEC’s Office of Compliance Inspections and Examinations During an Examination? (Stradley Ronon)

http://www.stradley.com/newsletters.php?action=view&id=939

 

Update on Social Media Compliance (Morgan Lewis)

http://www.morganlewis.com/pubs/IM_SocialMediaSpringCon_14may14.pdf

 

CFTC Staff Adopts New Approach to Requesting Relief From Commodity Pool Operator Registration (Bingham)

http://www.bingham.com/Services/Investment-Management

 

4 steps to Volcker Rule compliance (EY)

http://www.ey.com/Publication/vwLUAssets/EY-4_steps-to-Volcker-Rule-compliance/$FILE/ey-4-steps-to-Volcker-Rule-compliance.pdf

 

An Overview of ERISA Issues Related to ‘In-House’ Plan Use of Proprietary Products and Services (Groom)

http://www.groom.com/media/publication/1424_1Proprietary_Products_Litigation_BNA.pdf

 

Consensus Interpretation of the Implementation of Parallel Fund Structures under the Volcker Rule (Ropes & Gray)

http://www.ropesgray.com/news-and-insights/Insights/2014/May/Ropes-Gray-LLP-Joins-Firms-in-Volcker-Rule-Interpretation.aspx

 

FATCA Update: Recent Developments and Next Steps (Seward & Kissel)

http://www.sewkis.com/pubs/xprPubDetail.aspx?xpST=PubDetail&pub=601

Reader Interactions

Leave a Reply

You must be logged in to post a comment.

Back to Top
logo
480 E. Swedesford Road, Suite 220, Wayne, PA 19087
610-687-5320
LinkedIn Twitter
© 2020 Marlivia Properties LLC