5 Ways to Stay on Top of Your Career Growth Game
Today’s fast-paced and dynamic world means that opportunities to learn new skills and grow professionally are practically boundless for those who want to seize them. We’ve identified a few key actions to take to ensure that you’re on the right path forward. Consistent Training & Development. Training and development are critical for any professional. It…Read More
Training isn’t just important to a company, it is vital.
Although there are many categories of training, employees with cross-departmental skills are an important asset to any organization. But what does training and development, mean to your organization? Training presents a prime opportunity to expand the knowledge base of all employees, but many employers in the current climate find development opportunities expensive. Employees attending training…Read More
4 Common Myths About Developing your Skills and Knowledge
A lot of misinformation floats around the internet and through workplaces about what professional development entails and what employees should expect from their employers in terms of support, benefits, and total compensation. Below, we dispel five common myths. Myth #1 Broadening your skills will be easy. Professional development takes time and energy. Finding a course…Read More
Don’t Get Left Behind: Why It’s Critical to Engage in Professional Development
Within financial services, investors are demanding that the financial professionals with whom they work have the latest information at their fingertips and are up to date on all the latest tools and changes in the regulatory landscape. This means that financial professionals who don’t seek ongoing training and development are being left behind as their…Read More
What can SEC examinations teach me about third party due diligence?
IMDDA hosted a webinar “How Understanding SEC Examinations Can Inform the Due Diligence Process”. We’ve pulled a few of the key takeaways from the presentation to form a series of tips you can apply right away. Reviewing Examination Summary Letters & Responses Your optimal situation here is to have a copy of both the original…Read More
What is the AUM threshold for a fund to register with the SEC?
You asked and we answered. For our first blog in our Ask an Expert series: What is the AUM threshold for a SEC registration? It might not be what you think it is. This applies to any fund relying on 3c1 or 3c7. The law is and has been since Dodd Frank that SEC registration is…Read More
Investment due diligence procedures for regulatory examinations
Robust investment due diligence procedures are no longer best practice. They’re a regulatory requirement under MiFID II which was due to roll out this month and is still scheduled to come into force in the next few months. With this in mind, it is worth revisiting your own investment due diligence procedures and being aware of what…Read More
Compliant investment due diligence procedures for asset management
IMDDA hosted a webinar “What are Today’s Asset Managers Due Diligence Obligations?” with Robin Hodgkins, President of Castina LLC and former CISO John Rizzulo, now President at Rizzulo GRC. They spoke extensively about investment due diligence procedures for asset management. Here are a few of the highlights to whet your appetite for the full recording: 1.…Read More