The Back Office - Weekly Update (8/6/23)

Welcome! This week’s news and views below:

• Harnessing Data into Actionable Insight for Real Estate Managers (ssctech.com)

• Citco Middle Office Solutions report: Trade matching demand from alternatives managers surges in Q2 2023 - Citco

• Five Questions Investors Should Ask as Outsourced Trading Takes Center Stage | State Street

• Pricing Strategies for Retail Oriented Interval Funds - Ultimus (ultimusfundsolutions.com)

• Dispelling the myths of an offshore employee benefit trust (EBT) (ocorian.com)

• SEC Proposes Amendments to the Internet Adviser Exemption (sewkis.com)

• SEC Finalizes Cybersecurity Incident and Governance Disclosure Obligations for Public Companies | Insights | Holland & Knight

• SEC Adopts Rules on Cybersecurity Risk Management | Jones Day

• Proposed changes to HSR Form and Instructions would have significant impacts for private equity | Davis Polk

• Tri-Seal Compliance Note: Voluntary Self-Disclosure of Potential Violations | Akin Gump Strauss Hauer & Feld LLP

• FCA, Federal Reserve Share Concerns About AI in Financial Services // Cooley // Global Law Firm

• S&C Publication: SEC Proposes Amendments to Broker-Dealer Customer Protection Rule | Sullivan & Cromwell LLP

• Cabinet News & Views (cadwalader.com)

• I-9 Forms: Back to (In-Person) Basics, But with a New Exception

• Federal Banking Agencies Propose Basel III Endgame Capital Rules | Insights & Resources | Goodwin Procter

• Embracing Innovation: The Rise of Technology in Fund Administration - Waystone

• Private Fund Managers Should Reevaluate their Approach to Side Letter Management Amidst Increased Scrutiny | ACA Group

• Vigilant Monthly Newsletter | July 2023 (vigilantllc.com)

• SEC risk alert notes deficiencies found in recent AML examinations – Global Relay Intelligence & Practice

• IRS launches paperless processing initiative | Internal Revenue Service

• SEC.gov | SEC Awards More Than $104 Million to Seven Whistleblowers

• An Inside Look into FINRA’s Crypto Asset Work | FINRA.org

• Emerging and Hot Regulatory Topics: What Do Banks Need to be Preparing for Now - Treliant

• Covington mulling appeal of ruling in SEC breached client case | Premium | Compliance Week

• ADQ and IHC: The Blurred Boundaries of Abu Dhabi State Capitalism (GlobalSWF) Global SWF

• ‘Frivolous’ Lawsuits Continue to Hamper Investment Opportunities, Plan Sponsors Say (institutionalinvestor.com)

• Fundraising News (dakota.com)

• CSuiteNewsletterJuly2023.pdf (jefferies.com)

• Goldman Sachs on equities execution: Tacking with the wind - The TRADE (thetradenews.com)

• Buy Side Needs AI Strategy to Stay Competitive - Traders Magazine

• Preparing for FedNow Instant Payments | Treasury & Risk (treasuryandrisk.com)

• Bank Fraud Investigation: How It Works, the Process, + How Long It Takes - Blog | Unit21

• PRINCO - Capital Allocators with Ted Seides

• $40,000 fine for individual who used personal phone for business | Blog (globalrelay.com)

• A Guide for Alternative Investment COOs: What’s the Difference Between Managed IT, Cybersecurity Operations, and Cyber Governance? - Agio

• Revealing the Truth Behind OT Insider Threats & How to Spot Them | Darktrace Blog

• Guarding the Bridge: New Attack Vectors in Azure AD Connect (sygnia.co)

• 2022's Top Routinely Exploited Vulnerabilities - Blog | Tenable®

• IT Risk Assessments: A Process Your CIO or CISO Will Thank You For | AuditBoard

• 5 Emerging Trends in the Corporate Liquidity Market | Clearwater Analytics

Thanks for reading,

-B.O.G