Matt Ciciarelli

Cyberthreat protection, surprise audits and document storage regulations are just a few things that keep a compliance officer awake at night. Rule 17a4 from the SEC is what governs all of these things and financial institutions are required to abide by it. For some institutions, though, the required oversight is outside the scope of their ability. This article highlights what firms need to keep an eye on and how Albridge can help ... without mentioning the actual product. Which is key in a piece like this.

I've always thought that investing was simple ... State your objective (e.g., to retire at 65) and have your financial advisor get you there. While that's a simple theory, that hasn't always been the case. To hammer the idea home, I worked closely with one of our brightest investment analysts to write this whitepaper on Objectives-Based Investing.