Dealing with the New Derivatives Rle:A Gide for Legal and Compliance Professionals By Stephen A. Keen and Andrew P. Cross, Perkins Coie LLP In October 2020, the .S. Secrities and...
September 09, 2021
Dealing with the New Derivatives Rule:A Guide for Legal and Compliance Professionals By Stephen A. Keen and Andrew P. Cross, Perkins Coie LLP In October 2020, the U.S. Securities and...
September 09, 2021
IAA, ACA Grop Annonce Strategic Partnership The Investment Adviser Association has entered into a strategic partnership with ACA Grop (ACA), a leading provider of governance, risk, and compliance (GRC) advisory...
September 08, 2021
New SEC Marketing Rule Now Top Compliance Concern, Survey Shows
Implementing the SEC’s new Marketing Rule for Investment Advisers is the number one worry for investment adviser compliance officers, according to the 2021 Investment Adviser Compliance Testing Survey.
September 07, 2021
Tags: Compliance, Marketing Rule
SEC’s Gensler Addresses FinTech Priorities
SEC’s Gensler Addresses FinTech Priorities Chairman Says He’s Technology-Neutral, But not Public Policy-Neutral September 3, 2021 Observing that “[n]ew financial technologies continue to change the face of finance for...
September 07, 2021
Tags: FinTech, Cybersecurity, Digital Assets, Gary Gensler
SEC Requests Comment on Adviser Digital Engagement Practices
SEC Requests Comment on Adviser Digital Engagement Practices September 3, 2021 The SEC is requesting information and public comment on the use of digital engagement practices by broker-dealers and...
September 07, 2021
SEC Charges Account Takeover Victims for Deficient Cybersecurity Policies and Procedures that Expose
SEC Charges Account Takeover Victims for Deficient Cybersecurity Policies and Procedures that Exposed PII of Thousands of Clients September 3, 2021 Two SEC-registered investment advisers, four dual registrants, and...
September 07, 2021
Tags: Digital Advice, Robo, Technology
New IAA FAQs Explore New NY Rule Requiring Registration of IARs
The IAA has prepared FAQs on recently adopted state rules requiring the registration of IARs, including those who represent SEC-registered investment advisers from a place of business in New York and satisfy the definition of “investment adviser representative” in Advisers Act Rule 203A-3(a).
September 07, 2021
SEC Charges Account Takeover Victims for Deficient Cybersecurity Policies and Procedures that Exposed PII of Thousands of Clients Two SEC-registered investment advisers, four dual registrants, and two broker-dealers have paid...
September 07, 2021