A big win for advisers and IAA Advocacy: The SEC has named a new IM Director and withdrawn outstanding rule proposals that the IAA has pressed the SEC to confirm that it did not plan to adopt.
Investment advisers must keep up with evolving federal, state, and cross-border regulatory obligations with respect to client data, privacy, and cybersecurity.
The IAA believes that advisers should protect the confidentiality of client PII and inform clients of any breaches. We thus support requirements for advisers to have a principles-based incident response program that addresses unauthorized access to or use of client PII and notification of a breach to affected clients.
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