August 2020

COVID Produces New Adviser Hybrid Business Model

For most registered investment advisers, business continuity implementation in the COVID era entails some element of an employee work from home arrangement. As investment advisers approach month seven of COVID business continuity implementation, it is prudent to consider the ramifications attendant to long term business continuity implementation.  Working from home is on the verge of becoming a quasi-permanent feature of investment adviser business models and therefore the SEC is directing advisers to evaluate compliance risk sets related to the remote work configuration.

HRL newsletter published August 3, 2020

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Over the past month, regulators are talking ransomware, Form 13F, proxy voting, and Form CRS. Below we highlight each topic and cite the source for easy reference. We welcome questions from our clients relative to these important matters.