Cyber Security Threats: Top Five Priorities Advisers Should Know
February 25, 2020
Did you know that the FBI is the lead federal agency for investigating cyber attacks by criminals, overseas adversaries, and terrorists? Cyber threats are serious and growing, and intrusions are becoming more commonplace, more dangerous, and more sophisticated. In fact, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) recently alerted […]
Operational Takeaways from the 2020 Inside ETFs Conference
February 13, 2020
During the recent Inside ETF Conference, more than 2,300 financial advisers, institutional investors, investment managers, representatives from academia, and many other industry experts gathered in Hollywood, Florida to participate in and learn from a spectrum of forward-looking agenda topics. Professionals from Ultimus Fund Solutions attended the four-day event, met with ETF sponsors and industry […]
New Examination Priorities Released by SEC’s OCIE for 2020
February 4, 2020
The Securities and Exchange Commission’s (SEC) Office of Inspections and Examinations (OCIE) released its 2020 examination priorities in January, identifying key areas of potential risk to investors and the capital markets. As in recent years, OCIE highlighted familiar risks like cyber security and anti-money laundering with a focus on protecting retail investors. OCIE also […]