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This is a sample SEC routine examination letter from Boston that also includes questions on cybersecurity, investments not held by a qualified custodian, and an acquisition.
IAA letter calls on the SEC to conduct a holistic and cohesive review of the Outsourcing, Cybersecurity, Safeguarding, Regulation S-P, and the many other rule proposals affecting advisers, as well as for a reasonable and workable implementation timeline.
Results of the IAA’s 10-question member survey on the costs and burdens associated with the SEC’s cybersecurity proposal, which we believe the SEC severely underestimates. These results can help members benchmark their cybersecurity-related costs.
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