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Presentations
NSCP - Midwest Regional Meeting
April 12, 2010 |
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"Information Security Policies and Procedures Including Electronic Communications"
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The Institute of Performance Measurement - Performance Measurement Forum
December 3, 2009 |
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"An Era of Reform"
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U.S. Bancorp Fund Services
Annual Client Conference
June 15, 2006 |
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"Are You Prepared For Your Next SEC Exam?"
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Financial Planning Association
April 27, 2006 |
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"The Annual Review Requirement – Did You Miss the Deadline?"
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"US Bancorp Fund Services CCO Forum
October 6, 2005 |
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"Mutual Fund Compliance Issues"
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Financial Planning Association
August 17, 2005 |
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"SEC Compliance Update: Hot Topics and the Annual Review Requirement"
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US Bancorp Fund Services Group
July 19, 2005 |
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"An Overview of SEC Requirements for Hedge Fund Advisers"
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US Bancorp Fund Services Advisor CCO Teleconference
June 1, 2005 |
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"The Annual Review Requirement"
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ICI Small Funds Committee
May 11, 2005 |
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"Managing the Annual Review Requirement and Other Hot Topics"
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Financial Planning Association
August 25, 2004 |
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"SEC-Critical Compliance Manual Components"
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US Bancorp Fund Services Annual Client Conference
June 24, 2004 |
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"Formal Compliance Programs - An Overview"
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Financial Planning Association
June 23, 2004 |
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"A Practical Guide to Developing Your Compliance Policy Manual"
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Cincinnati Mutual Fund Association
May 26, 2004 |
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"Will Your IA Compliance Program Be Ready by October 5?"
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Quarles & Brady LLP
Corporate Services Group
Investment Management Breakfast Program
May 6, 2004 |
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"A Practical Guide to Developing your Compliance Policy Manual"
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Madison Investment Management Society
February 18 , 2004 |
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"The SEC is on a Mission: How Strong is Your Compliance Program?"
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Milwaukee Investment
Analysts Society
February 4, 2004 |
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"The SEC is on a Mission: How Strong is Your Compliance Program?"
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Financial Planning of Southeastern Wisconsin
October 21, 2003 |
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“Compliance for the Small Advisor”
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Press
Ignites.com
"Software Shines Light on Subadvisor Trade Compliance"
July 22, 2010
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Vista360 was quoted in this article about a system that claims it allows product manufacturers to track subadvisor trades pre-execution and in real time.
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FinancialTimes.com
"Advisers Await Federal Verdict on Care Standard"
June 6, 2010
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Vista360 was quoted in this article regarding a potential fiduciary care standard in the upcoming Congressional financial industry reform bill.
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Ignites.com
"Building an Ethical Corporate Culture"
May 24, 2010
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Vista360 was quoted in this article on practices that promote building an ethical corporate culture.
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Vista360 authored this article to introduce a model that CCOs may use to effectively guide their compliance programs through the lifecycle of a "HIPE" (High Profile Event).
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Ignites.com
"YourQ&A: Is the SEC Really Serious About 12b-1 Reform?"
February 26, 2010
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Vista360 provided insight into the questions -- What is the outlook on 12b-1 reform? Is there anything to indicate that it won’t be more than just talk this year?
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Ignites.com
"SEC Piloting New Selection Approach for Exams"
January 5, 2010
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Vista360 was quoted in this piece on a new approach the SEC is piloting to assess the risk of advisers that have infrequently or never been examined in order to determine whether they warrant a full-blown examination.
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Investment Adviser Association Newsletter
"Compliance Reviews of Investment Adviser Trading Functions - Tips for CCOs"
January 4, 2010
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Vista360 authored this article intended to help CCOs gain a better understanding of their firm's trading practices.
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Ignites.com
"MoneyVoices: A Regulatory Preview for the Industry"
December 24, 2009
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Vista360 authored a preview on potential regulatory changes for 2010.
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Ignites.com
"What to Do When Rogue Employees Create PR Disasters"
November 16, 2009
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Vista360 provided comment on public relations concerns when rogue employees bring unwanted attention to a brand.
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Ignites.com
"YourQ&A: How To Build a Culture of Compliance"
June 3, 2009
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Vista360 provided insight into the question -- What should a CCO consider when creating a compliance education program?
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Ignites.com
“How to Get More From Less Without Killing
Morale”
April 20, 2009
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Vista360 was quoted in this article pertaining to workplace communication, support and training.
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Ignites.com
“New Software Bolsters Pre-Trade Compliance Capability”
January 26, 2009
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Vista360 was quoted in an article on a new software compliance product designed
to give fund advisers the ability to conduct pre-trade compliance of sub-advisers.
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Vista360 authored article on advisory client due diligence reviews.
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Ignites.com
“YourQ&A: How to Ease Gatekeepers’ Concerns”
July 23, 2008
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Vista360 provided insight into the question -- What are helpful steps fund companies can take to demonstrate high compliance
standards to due diligence teams?
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Ignites.com
“Smoking-Gun E-Mail Lessons Go Unlearned”
June 23, 2008
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Vista360 provided comment on electronic communications concerns in creating compliance programs.
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Ignites.com
“YourQ&A: What’s the Best E-Mail Storage Approach?”
May 22, 2008
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Vista360 provided insight into the question -- How are fund companies approaching e-mail retention in regards to following
regulations that mandate the retention of certain documents while staying within their e-mail archive and storage budgets?
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Ignites.com
“YourQ&A: Will Paulson Plan Reshape Industry?”
May 7, 2008
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Vista360 provided insight into the question -- How would Treasury Secretary Paulson's call for “principles-based regulation” change
the regulatory landscape for investment advisors and mutual funds?
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Ignites.com
“E-Mail Attacks Top Security Breach: Study”
Sept. 19, 2007
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Vista360 was quoted in the article regarding a Deloitte & Touche report on information security.
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Click Year to Expand
2006
Board IQ
“Capitol Hill Prods SEC for Soft Dollar Guidance”
June 20, 2006
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Vista360 provided comment on soft dollar expenditures.
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Investment Adviser Association Newsletter
“Life in Compliance”
February 1, 2006
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Vista360 provided insight and perspective on a day in the life of a CCO.
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2005
Ignites.com
“SEC Fines Advisor $3.2M for Market Timing”
October 5, 2005
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Vista360 provided comment and perspective on the mutual fund industry's approach to market timing controls.
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Ignites.com
“Treasury Readies SAR Guidance, But Sets No Rule”
September 8, 2005
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Vista360 was interviewed for this article which focused on SAR guidance for the mutual fund industry.
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Fortune Small Business
“Mining Gold From Rules ”
September 2005 Issue
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Vista360 was profiled in this story regarding firms providing regulatory related services.
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Solutions
“Prepping For Your Annual Compliance Review ”
July/August 2005 Issue
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Vista360 authored this article which details how to approach the SEC annual review requirement.
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Small Business Times
“Opportunity on the Horizon”
May 27, 2005
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Article focusing on Vista360’s industry related experience and the services provided to the mutual fund industry.
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Ignites.com
“SEC: Attorney-Client
Privilege Overused”
May 9, 2005
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Vista360 provided insight for this article relating to the increase of advisors invoking attorney-client privilege.
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Ignites.com
“SEC Allows More Time to Replace Advisors”
May 2, 2005
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Vista360 was quoted in this article related to SEC oversight over the transition of fund advisors.
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Money Management Executive
“SEC Tags Another Advisor for Overcharging: Accuses Second Firm of Excessive Performance-Based Fees
February 14, 2005
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Vista360 was quoted in this article pertaining to the calculation of performance-based fees by advisors.
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Ignites.com
"NASD Reg Seeks Tougher Scrutiny of Ads"
February 11, 2005
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Vista360 was quoted in this article related to proposed changes to the regulation of broadcast advertising by NASD members
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2004
The Business Journal
“Ex-Firstar money managers find success after leaving”
November 19, 2004 |
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Vista360 was quoted as ex-Firstar employees who started successful consulting business after leaving Firstar’s investment advisor. |
Solutions
The Financial Planning Association
September/October 2004 |
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Authored article: “SEC Compliance Practice Tips: Custody and Best Execution”
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Money Management Executive
“Choosing Which
Big Cheese Becomes CCO”
July 19, 2004 |
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Vista360 commented on the role of a chief compliance officer.
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Forbes.com
“Finding Transparency in Soft Dollars”
May 20, 2004 |
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Vista360 was quoted in this article related to soft dollar matters.
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Milwaukee Journal Sentinel
“Money managers optimistic”
January 10, 2004 |
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Vista360 was quoted on the status of the investment management industry in Milwaukee, WI.
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2003
The Business Journal
“New SEC Rule Means Business”
August 8, 2003 |
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Vista360 was featured in this issue.
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Milwaukee Journal Sentinel
“Homework can pay
off in picking manager”
April 26, 2003 |
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Vista360 was quoted in this article on practical tips investors should consider in choosing an investment advisor.
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