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Headspace

At its core, Helios is rooted in the belief that the world’s most meaningful and impactful ideas and contributions come from people. We view ourselves as empowering agents and partners in that regard, enabling investment management professionals to maximize all of their intellectual ability and creativity by giving them either the expertise, time, or spark they need to realize their full potential.

To those ends, we regularly write and share papers on governance, risk, and compliance topics. Our pieces are all designed, in one way or another, to illuminate something for the reader so he/she/they can contemplate, be, and achieve more. Our literature series is called Headspace, and the pieces are intended to be contemplative while always arcing toward action and application (and of course, we hope you actually enjoy the content – as a reader, you’re owed that at the very least).

We hope you find the Headspace works in this library valuable.

February 2025

Tis the (ADV) Season: 8 Common Headaches & Practical Solutions for Form ADV Updates

Read Headspace for February 2025

January 2025

Art & Science: Strategies & Practices for Managing SEC Exams

Read Headspace for January 2025

December 2024

Babylon & Investment Manager Annual Planning: 7 New Year’s Resolutions for 2025 (& Beyond)

Read Headspace for December 2024

November 2024

Shaking the Magic 8 Ball: A Biennial Retrospective on the Marketing Rule

Read Headspace for November 2024

October 2024

Fool Me Once: A Reminder of Sound Trade Allocations Practices in Light of Recent SEC “Cherry Picking” Actions

Read Headspace for October 2024

September 2024

Surveying the Waves: A Data-Oriented Study of the SEC’s Electronic Communications Recordkeeping Enforcement Actions

Read Headspace for September 2024

August 2024

Getting by with a Little Help from Friends: The Use & Management of Outsourced Service Providers

Read Headspace for August 2024

July 2024

A Walk Down the New Wall Street: Managing the Arrival, Risks, and Promise of AI in Investment Management

Read Headspace for July 2024

June 2024

Roaring Kitties and the Emergence of “Finfluence” Risk

Read Headspace for June 2024

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