"Identification and Management of Conflicts of Interest"

"Information Security Policies and Procedures Including Electronic Communications"

"An Era of Reform"

"Changing Regulatory Landscape and How to Survive an SEC Exam "

"Current Regulatory Environment"

"SEC Investment Performance Insight"

"The SEC is My New Best Friend"

"Are You Prepared For Your Next SEC Exam?"

"The Annual Review Requirement – Did You Miss the Deadline?"

"Mutual Fund Compliance Issues"

"SEC Compliance Update: Hot Topics and the Annual Review Requirement"

"An Overview of SEC Requirements for Hedge Fund Advisers"

"The Annual Review Requirement"

"Managing the Annual Review Requirement and Other Hot Topics"

Vista360 was asked to comment on an Ignites poll where a majority of voters indicated their firms are moderately to significantly reducing expenses.

Vista360 commented on the SEC's recent action to hold a CCO personally liable for not adequately shoring up customer privacy policies after a series of data breaches.

Vista360 was quoted in this article about a Los Angeles-based firm asking the SEC’s permission to create private equity funds that would be available only to certain employees and individuals connected to the firm.

Vista360 provided insight into the question -- What are effective ways to measure a transfer agent’s performance?

Vista360 was quoted in this article where analysts said the FBI probe into insider trading should have fund managers taking a second look at the risk controls they have in place when using expert networks and other third-party research providers.

Vista360 was asked to comment on an Ignites poll where a majority of voters said the Republican Party’s recent capture of control of the House will create a less stringent regulatory environment.

Vista360 was asked to comment on an Ignites poll where a majority of voters said at least some Internet restrictions should be lifted on employees.

Vista360 was quoted in this piece on challenges facing compliance professionals due to the Dodd-Frank Act and 12b-1 reform.

Vista360 provided insight into the question -- How do you manage e-mails that are no longer in your retention system but were saved by the employee in some other electronic format or in a hard copy form?

Vista360 was quoted in this article regarding UAT System, software that tracks subadvisor trades pre-execution and in real time.

Vista360 was quoted in this article regarding a potential fiduciary care standard in the upcoming Congressional financial industry reform bill.

Vista360 was quoted in this article on practices that promote building an ethical corporate culture.

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).

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?

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.

Vista360 authored this article intended to help CCOs gain a better understanding of their firm's trading practices.

Vista360 authored a preview on potential regulatory changes for 2010.

Vista360 provided comment on public relations concerns when rogue employees bring unwanted attention to a brand.

Vista360 provided insight into the question -- What should a CCO consider when creating a compliance education program?

Vista360 was quoted in this article pertaining to workplace communication, support and training.

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.

Vista360 authored article on advisory client due diligence reviews.

Vista360 provided insight into the question -- What are helpful steps fund companies can take to demonstrate high compliance standards to due diligence teams?

Vista360 provided comment on electronic communications concerns in creating compliance programs.

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?

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?

Vista360 was quoted in the article regarding a Deloitte & Touche report on information security.