How to Prepare for an SEC Audit

For many in operations, when you’re notified of a pending SEC audit, your first instinct might be worry and panic. But, like any regulated industry, periodic examinations will take place, so why not put a system in place to ready your organization? The following are the steps we recommend when an office is first notified of its pending audit. These steps are designed to help you prepare and take the stress out of the situation….

Cyber Security–It’s Not an IT Problem

  For many organizations, investment offices and otherwise, cyber security is somewhat of a mystery. This lack of clarity surrounding cyber security for investment offices has, unfortunately, created a number of misconceptions across management as to the best approaches. It’s important for all organizations to hold the notion that cyber security isn’t just an IT problem. So many organizations make that assumption because they have in-house technical expertise, their cyber exposure is something for the…

Employee Turnover: Is the Person Who Knew How to Do Everything Gone?

Outsourcing critical, routine tasks can help you to avoid the headaches turnover can cause in your daily operations. Unexpected employee turnover—we’ve all been there. It can wreak havoc on your firm, impacting far more than just the recruiting and hiring tasks. The untimely departure of key team members charged with critical tasks like reconciliation can push you to levels of frustration you rarely reach under normal conditions. Your employees are the foundation of everything you…