2024 IAA Virtual Compliance Workshop Takeaways – Cyber/Data Privacy, AI, Marketing Rule
Takeaways from the 2024 IAA Virtual Compliance Workshop.
September 16, 2024
Tags: AI, Compliance Workshops, Cybersecurity, Examinations, Marketing Rule
Marketing Rule Toppled by Off-Channel Communications for Top Compliance Concern
Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published today.
July 17, 2024
Tags: Climate, Compliance Testing Survey, Conflicts of Interest, Cybersecurity, Fees and Expenses, Marketing Rule, Off-Channel Communications, Private Funds, Recordkeeping, Research
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 Finalizes its Data Privacy (Reg S-P) Rule – What You Need to Know
The IAA believes that advisers should protect the confidentiality of client PII and inform clients of any breaches. We thus support requirements for advisers to have a principles-based incident response program that addresses unauthorized access to or use of client PII and notification of a breach to affected clients.
May 16, 2024
Tags: Cybersecurity, Data Security
NIST Releases New Cybersecurity Framework
New cybersecurity framework, intended to guide all types of organizations, was published by the National Institute of Standards and Technology (NIST).
February 26, 2024
Tags: Privacy, Cybersecurity, NIST
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 Calls for Holistic Review of Rule Proposals
IAA letter calls on the SEC to conduct a holistic and cohesive review of the Outsourcing, Cybersecurity, Safeguarding, Regulation S-P, and the many other rule proposals affecting advisers, as well as for a reasonable and workable implementation timeline.
June 20, 2023
Tags: Cybersecurity, Outsourcing, Regulation S-P, Safeguarding
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
Developing a Programmatic Approach to Cybersecurity Oversight
This article discusses how private equity firms can better manage cybersecurity across their portfolio companies.
April 25, 2023
Tags: Cybersecurity, Private Funds
10 Tips for Making Your Firm Cyber-Prepared
Cybersecurity is on the SEC’s mind. Not only is cyber risk management a rulemaking priority, but information security and operational resiliency is also a 2023 priority for the Division of Examinations. Here are tips from CCOs on becoming cyber-prepared.
April 12, 2023
Tags: Cybersecurity, Red S-ID, Reg S-P