"Poll: Firms Cut Costs but Spend Savvier"

July 27, 2011


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

"SEC Goes After CCO for Weak Response to Privacy Breaches"

April 11, 2011


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.

"Cap Group Looks to Sweeten Employee Benefits"

February 16, 2011


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.

"YourQ&A: What Are the Best Measures of Transfer Agent Performance?"

February 2, 2011


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

"Insider Trading Probe Prompts Risk Scrutiny"

December 5, 2010


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.

"Poll: GOP Will Ease Regulations on Industry"

November 17, 2010


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.

"Poll: Firms Should Relax Workplace Internet Policies"

October 13, 2010


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.

"Compliance Teams Brace for Dodd-Frank, 12b-1 Reform"

October 7, 2010


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

"YourQ&A: How Does Compliance Manage Stray E-Mail?"

October 1, 2010


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?

"Software Shines Light on Subadvisor Trade Compliance"

July 22, 2010


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

"Advisers Await Federal Verdict on Care Standard"

June 6, 2010


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

"Building an Ethical Corporate Culture"

May 24, 2010


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).

"YourQ&A: Is the SEC Really Serious About 12b-1 Reform?"

February 26, 2010


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?

"SEC Piloting New Selection Approach for Exams"

January 5, 2010


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.

Investment Adviser Association Newsletter

"Compliance Reviews of Investment Adviser Trading Functions - Tips for CCOs"

January 4, 2010


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

"MoneyVoices: A Regulatory Preview for the Industry"

December 24, 2009


Vista360 authored a preview on potential regulatory changes for 2010.

"What to Do When Rogue Employees Create PR Disasters"

November 16, 2009


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

"YourQ&A: How To Build a Culture of Compliance"

June 3, 2009


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

“How to Get More From Less Without Killing Morale”

April 20, 2009


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

“New Software Bolsters Pre-Trade Compliance Capability”

January 26, 2009


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.

“YourQ&A: How to Ease Gatekeepers’ Concerns”

July 23, 2008


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

“Smoking-Gun E-Mail Lessons Go Unlearned”

June 23, 2008


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

“YourQ&A: What’s the Best E-Mail Storage Approach?”

May 22, 2008


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?

“YourQ&A: Will Paulson Plan Reshape Industry?”

May 7, 2008


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?

“E-Mail Attacks Top Security Breach: Study”

Sept. 19, 2007


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


Click Year to Expand


Board IQ

“Capitol Hill Prods SEC for Soft Dollar Guidance”

June 20, 2006


Vista360 provided comment on soft dollar expenditures.


Investment Adviser Association Newsletter

“Life in Compliance”

February 1, 2006


Vista360 provided insight and perspective on a day in the life of a CCO.



“SEC Fines Advisor $3.2M for Market Timing”

October 5, 2005


Vista360 provided comment and perspective on the mutual fund industry's approach to market timing controls.

“Treasury Readies SAR Guidance, But Sets No Rule”

September 8, 2005


Vista360 was interviewed for this article which focused on SAR guidance for the mutual fund industry.


Fortune Small Business

“Mining Gold From Rules ”

September 2005 Issue


Vista360 was profiled in this story regarding firms providing regulatory related services.



“Prepping For Your Annual Compliance Review ”

July/August 2005 Issue


Vista360 authored this article which details how to approach the SEC annual review requirement.


Small Business Times

“Opportunity on the Horizon”

May 27, 2005


Article focusing on Vista360’s industry related experience and the services provided to the mutual fund industry.

“SEC: Attorney-Client
Privilege Overused”

May 9, 2005


Vista360 provided insight for this article relating to the increase of advisors invoking attorney-client privilege.

“SEC Allows More Time to Replace Advisors”

May 2, 2005


Vista360 was quoted in this article related to SEC oversight over the transition of fund advisors.

Money Management Executive

“SEC Tags Another Advisor for Overcharging: Accuses Second Firm of Excessive Performance-Based Fees

February 14, 2005


Vista360 was quoted in this article pertaining to the calculation of performance-based fees by advisors.

"NASD Reg Seeks Tougher Scrutiny of Ads"

February 11, 2005


Vista360 was quoted in this article related to proposed changes to the regulation of broadcast advertising by NASD members


The Business Journal

“Ex-Firstar money managers find success after leaving”

November 19, 2004
  Vista360 was quoted as ex-Firstar employees who started successful consulting business after leaving Firstar’s investment advisor.


The Financial Planning Association

September/October 2004

Authored article: “SEC Compliance Practice Tips: Custody and Best Execution”

Money Management Executive

“Choosing Which
Big Cheese Becomes CCO”

July 19, 2004

Vista360 commented on the role of a chief compliance officer.

“Finding Transparency in Soft Dollars”

May 20, 2004

Vista360 was quoted in this article related to soft dollar matters.

Milwaukee Journal Sentinel

“Money managers optimistic”

January 10, 2004

Vista360 was quoted on the status of the investment management industry in Milwaukee, WI.


The Business Journal

“New SEC Rule Means Business”

August 8, 2003

Vista360 was featured in this issue.

Milwaukee Journal Sentinel

“Homework can pay off in picking manager”

April 26, 2003

Vista360 was quoted in this article on practical tips investors should consider in choosing an investment advisor.


The information in the Industry News and Vista360 News sections is intended for informational purposes only. The information is derived from sources deemed to be reliable, but should not be considered complete or guaranteed. Further, the information provided should not be construed as customized advice, legal or otherwise.










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