If you operate a financial institution whether you are a broker-dealer, investment adviser, or transfer agent the regulatory landscape just shifted beneath your feet. On August 2, 2024, the SEC adopted comprehensive amendments to Regulation S-P, modernizing the rules that govern how financial institutions handle nonpublic personal information. While the original regulation (adopted in 2000) […]
Author Archives: Steven Cole
When thinking about selling or acquiring another accounting firm, the role of technology cannot be overstated: it’s the digital backbone of the operation!Imagine two firms, each deeply entrenched in their own software systems. Merging them can feel a bit like trying to fit a square peg into a round hole. As a result, it’s essential […]