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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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
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
SEC Extends Relief on Fixed Income Disclosure to 2025
Buyside concerns around a 2020 amended rule that would require dealers to receive and review certain public information before they can publish quotes on fixed income securities were temporarily allayed by a welcome November 30, 2022, SEC no-action letter.
December 02, 2022
SEC’s Gary Gensler and IAA’s Karen Barr Debate SEC Agenda for Advisers
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October 19, 2022
SEC Adopts Rules to Implement Pay-Versus-Performance Disclosure Requirement
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September 20, 2022