Tag: Custody
IAA Presents Top Regulatory Priorities for the New Administration
The IAA’s top recommendations for regulatory and policy actions that the SEC should prioritize in the first days of the new administration.
January 31, 2025
Tags: AML, Custody, Marketing, Pay-to-Play
Updated SEC Agenda Includes Significant Reproposals
Federal agencies issue Spring Reg Flex rulemaking agendas, including reproposals of several SEC rules.
July 11, 2024
Tags: AML, CFTC, Custody, Cybersecurity, DOL, ESG, Proxy Voting, Regulatory Agendas, SEC Investment Management
SEC Continues Ambitious Agenda, AML Proposal for Advisers Likely
Federal agencies have issued their Fall Reg Flex rulemaking agendas, reflecting a continuation of ambitious agendas.
December 08, 2023
Tags: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management
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
Tags: Custody, Safeguarding, SEC
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
Tags: Form ADV, Custody, SEC Enforcement
SEC Pivots to Finalizing Rules, Other Proposals Coming
Federal agencies issue Spring Reg Flex agendas, reflecting continuation of ambitious agendas.
June 15, 2023
Tags: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management
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
Tags: Custody, Safeguarding, SEC
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
Tags: Custody, Division of Investment Management, Recordkeeping, Securities Settlement Cycle, Trading
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
Tags: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agents, SEC Investment Management
SEC Charges Nine Private Fund Advisers with Custody, Form ADV Rule Violations
The SEC charged nine private fund advisers with custody and Form ADV deficiencies.
September 19, 2022
Tags: Form ADV, Custody, SEC Enforcement
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