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
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Tis the (ADV) Season: 8 Common Headaches & Practical Solutions for Form ADV Updates
January 2025
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Art & Science: Strategies & Practices for Managing SEC Exams
December 2024
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Babylon & Investment Manager Annual Planning: 7 New Year’s Resolutions for 2025 (& Beyond)
November 2024
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Shaking the Magic 8 Ball: A Biennial Retrospective on the Marketing Rule
October 2024
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Fool Me Once: A Reminder of Sound Trade Allocations Practices in Light of Recent SEC “Cherry Picking” Actions
September 2024
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Surveying the Waves: A Data-Oriented Study of the SEC’s Electronic Communications Recordkeeping Enforcement Actions
August 2024
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Getting by with a Little Help from Friends: The Use & Management of Outsourced Service Providers
July 2024
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A Walk Down the New Wall Street: Managing the Arrival, Risks, and Promise of AI in Investment Management
June 2024
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Roaring Kitties and the Emergence of “Finfluence” Risk