IAA Submits Additional Comments on SEC’s Safeguarding Proposal
The IAA has submitted a comment letter urging the SEC to make additional changes to its proposed rule relating to the safeguarding of advisory client assets.
October 30, 2023
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SEC Charges Five Private Fund Advisers with Custody Rule and Form ADV Violations
The SEC charged five private fund advisers with custody and Form ADV deficiencies.
September 07, 2023
SEC Pivots to Finalizing Rules, Other Proposals Coming
Federal agencies issue Spring Reg Flex agendas, reflecting continuation of ambitious agendas.
June 15, 2023
IAA Files Comments on SEC’s Safeguarding Client Assets Proposal
The IAA has submitted a comment letter urging the SEC to make substantial changes to its proposed rule related to the safeguarding of advisory client assets.
May 09, 2023
SEC Finalizes T+1 Rules, Proposes Massive Custody Rule Changes
The SEC has finalized its rules to shorten the standard settlement cycle for most securities transactions and proposed amendments to the custody rule and related recordkeeping and Form ADV changes.
February 16, 2023
Few Big Changes in New Regulatory Agendas, Ambitious Rulemakings to Persist
Federal agencies issue Fall Reg Flex agendas, reflecting continuation of ambitious agendas; Custody Rule and anti-money laundering for advisers still planned.
January 09, 2023
SEC Charges Nine Private Fund Advisers with Custody, Form ADV Rule Violations
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September 19, 2022
Agencies Update Regulatory Agendas, Custody Rule Proposal Expected Soon
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June 27, 2022