Libby Hall, Communications Analyst
Technology & Digital Assets
Digital Asset Regulatory Challenges – Bill Reilly and Don Horwitz, NSCP Currents Magazine, July, 2018
You Can’t Regulate Bitcoins with Virtual Money – Don Horwitz – Reprinted with permission from Futures and Derivatives Law Report, Volume 38, Issue 4, K2018 Thomson Reuters.
Oyster Consulting – CIO Outlook Top 10 Hedge Fund Technology Solutions Provider – Buddy Doyle, CIO Outlook Magazine, September, 2018
FINRA Digital Advice and the Robo-World – “FINRA Digital Advice and the Robo-World,” NSCP Currents, April, 2016.
SEC Could Start Issuing More Exam Fines for Poor Cybersecurity Controls — Buddy Doyle — Intra Links Fund Space, Return to Cybersecurity Update, October 13, 2015
“Best Practices for Selecting Governance Risk and Compliance Software” – Shannan Layette, Pete McAteer, Buddy Doyle – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer, July 1, 2014
Senior Investors & Vulnerable Adults
Protection of Seniors from Financial Exploitation – Congress Enacts the Senior Safe Act – Bob Tuch – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer. September/October, 2018
The SEC’s ReTIRE Initiative: An Examination Initiative Focused on Products and Services Provided to Retail Investors Saving for Retirement – Bob Tuch – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer, Vol. 9 No. 1, January/February 2016
Regulation Best Interest – What it is and What Happens Next – Evan Rosser – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer. September/October, 2018
SEC 2017 Exam Priorities White Paper February, 2017
The SECS 2017 Priorities: What They Are and What Compliance Professionals Need to Know– NSCP Currents, February, 2017.
“New SEC Derivatives Proposal May Cause Collateral Damage” – reprinted with permission from Fund Operations, March, 2016.
“Compliance Challenges for Dually-Registered Firms” – Bob Tuch – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer
“FINRA expected to adopt CARDS despite local industry resistance” – Evan Rosser (quoted) – Investment News article
“Gibbons: Drive to lure asset managers can drum up jobs” – Alison Morrison (quoted) – Royal Gazette, Bermuda
“A Practical Guide for Handling Legacy Data” – Buddy Doyle – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer
“Mitigate Negative Effects You May Have from the Cash Incentives of The Whistleblower Provision” – Cathleen Seneca – NSCP Currents
Teaching Rulemaking in the Line of Fire – Donald L. Horwitz, Esq. – Reprinted with permission from Futures and Derivatives Law Report, Vol. 35, Issue 6
HedgeWeek Global Awards 2014 – Special Publication, HedgeWeek
Webinars & Video Clips
Starting Your Own RIA January 24, 2018, co-produced with Hirschler-Fleischer Attorneys at Law
Emerging Technologies – Existing Regulations May 1, 2018, co-sponsored with NSCP
GDPR: Are You Protecting Your Clients’ Data? April 10, 2018
The New Form ADV Rules: What You Need To Know October 24, 2017, co-produced with Hirschler-Fleischer Attorneys at Law
Creating and Executing Effective, Customized Branch Examinations September 15, 2016, Co-Sponsored with NSCP
Recording: The Countdown Is On – What’s Your DOL Game Plan? May, 2017
Recording: Are You Ready for June 9th and the DOL Fiduciary Rule? April, 2017
Are You Ready for April? Training and Education Around the DOL Fiduciary Rule January 11, 2017
Now What? Next Steps in Preparing for the DOL Fiduciary Rule Change October 26, 2016
Anatomy of a Risk Assessment – Preparing for the DOL Fiduciary Rule Change August 31, 2016