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 Operations During a Government Shutdown
If lawmakers cannot reach an agreement on government funding by the end of this week, a shutdown will occur at the beginning of the fiscal year on October 1.
September 29, 2023
IAA Supports SEC Proposal on Protection of Client Information with Recommended Changes
The IAA supports the SEC proposal to expand rules that protect privacy of investor information with recommended changes.
June 05, 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 Staff Issues Risk Alert on Safeguarding Client Information at Branch Offices
Reflecting an ongoing focus on both oversight of branch offices and safeguarding of client information, the SEC’s Division of Examinations has issued a Risk Alert on the “importance of establishing written policies and procedures for safeguarding customer records and information at branch offices.”
May 01, 2023
Senators Seek Investigation of SEC Rulemaking
Senate Republicans are calling on the SEC’s Inspector General to investigate the agency’s “aggressive regulatory agenda” under Chair Gary Gensler to ensure smaller advisers have a seat at the table.
March 24, 2023
SEC Officials in the Spotlight at IAA Compliance Conference
More than 500 attendees, speakers, sponsors, and exhibitors joined the IAA in Washington, D.C. for the 2023 Investment Adviser Compliance Conference. SEC officials, industry experts, and IAA staff discussed critical topics for investment advisers, including the Marketing Rule, cybersecurity, digital assets, the volume of SEC proposals, exams and enforcement, and more.
March 17, 2023
SEC proposes expanding its data privacy rules to require advisers to implement incident response programs and notify clients of unauthorized access or use of sensitive client information; reopens comment period for adviser cybersecurity proposal.
March 16, 2023