Industry Perspectives

New SEC Cybersecurity Sweep

The Office of Compliance Inspections and Examinations (OCIE) announced a cybersecurity sweep focused on Investment Advisers with Branch Offices being involved in mergers and acquisitions.

Read more on our NRS Insights Blog

Are you ready for AML Scruitiny?

Regulatory concern about money-laundering activity is only increasing, and financial institutions are pumping money and human resources into maintaining adequate compliance programs.

Read more on our NRS Insights Blog