hedge funds

SEC Releases COVID-19 Compliance Risks and Considerations for Financial Firms

In response to the broad and varied effects of COVID-19, SEC registrants have been faced with new operational, technological, commercial, and other challenges and issues. Due to the pandemic, many Firms have shifted to predominantly operating from remote sites, and these transitions may raise compliance issues and other risks that could impact protracted remote operations.…

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ACE IT Solutions to Address Cybersecurity Challenges for Financial Firms at Cap-Intro East

Warren Finkel, managing partner of ACE IT Solutions will be speaking about cybersecurity challenge for investment firms at the Cap-Intro EAST Conference, being held October 23 and 24, 2017, at the University Club of New York in New York City.  Given the current cybersecurity landscape, with high-profile breaches of businesses like Equifax, responsibility for cybersecurity risk management and…

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Building a Culture of Compliance

The financial industry, particularly hedge funds, are feeling the burden of compliance.The OCIE has also added cybersecurity to its priorities, and announced a plan to examine firms’ policies and procedures to protect their data from loss or theft by hackers. Regulation is the reality and so are examinations. A sound technology infrastructure is virtually imperative in…

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Hedge Fund Publication Features ACE IT Solutions’ Cyber Security Expertise

ACE IT Solutions was featured in HFMWeek’s 2015 Cyber Risk and Security Report. They spoke with managing partner, Warren Finkel, about why cyber security must include a top-down approach to security awareness and why threat intelligence is essential. The article is below.  HFM: Can you explain ACE IT Solutions’ approach to cyber security and the main principles behind your offering? …

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Investors: Vetting the Cyber Security of a Fund

ACE IT Solutions’ managing partner, Warren Finkel, recently spoke to Investor’s Business Daily about how investors can protect themselves if their mutual fund, hedge fund or RIA is hacked. Some of the key questions that investors need to ask, include: Is there any guarantee against loss against cyber attacks? What steps is the firm taking to protect your personal information…

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Putting Cyber Security Threat Numbers to Work for your Business

Cyber security companies like to throw around numbers: such as these stats from IBM and Verizon: 66% of the breaches took months or more to discover Approximately 70% of the breaches were discovered by external parties 37% of breaches occurring between 2012 and 2013 affected financial organizations 92% of organizational breaches were perpetrated by outsiders…

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US Regulators Issue Guidance on Disaster Recovery and Business Continuity Planning for Hedge Funds

US regulators have issued guidance on effective disaster recovery and business continuity planning for financial institutions. The Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC)’s Division of Swap Dealer and Intermediary Oversight and the Financial Industry Regulation Authority (FINRA) have advised firms to prepare for widespread disruption during the upcoming hurricane season. This…

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Intelligent Business Continuity

When a hedge fund in lower Manhattan lost power due to Hurricane Sandy, ACE IT Solutions, in partnership with Datto, delivered seamless intelligent business continuity by providing complete access to the virtual server with ample time to meet the trading deadline. Leveraging Datto’s SIRIS Solution, ACE IT Solutions instantly virtualized the server in the cloud…

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Ensure Network Security with Penetration Testing

The security of your network should should be a top priority and it demands your attention. Security breaches and related interruptions in the performance of services or applications can result in significant threats to your organization in the form of lost revenue and critical proprietary information. As big data grows exponentially, businesses face the ever-changing…

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Dodd Frank’s Impact on Hedge Fund Information Technology

The Dodd-Frank reform law will impact almost every business in financial services. “The trick will be leveraging existing systems and rationalizing data across the business to meet strict compliance demands while keeping costs in check,” according to an article in Wall Street and Technology. The article predicts that new regulations will increase the costs of…

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