What Tech Traps Are Examiners Looking For?

What Tech Traps Are Examiners Looking For?
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What Tech Traps Are Examiners Looking For?

Almost half of financial firms reported being examined by regulators in the last 12 months, according to Smarsh’s 2017 Electronic Communications Compliance Survey, and examiners are looking more closely at firms’ communications. However, although firms have increased their efforts to meet compliance requirements regarding electronic communications with clients, significant gaps remain, the report found. (Related: Staying…

Seth Klarman’s 2021 Letter: Baupost’s “Never-Ending” Hunt For Information

Baupost's investment process involves "never-ending" gleaning of facts to help support investment ideas Seth Klarman writes in his end-of-year letter to investors. In the letter, a copy of which ValueWalk has been able to review, the value investor describes the Baupost Group's process to identify ideas and answer the most critical questions about its potential Read More

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