Cybersecurity Archives

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

Tags: Compliance Conference, Cybersecurity, Marketing Rule, SEC, SEC Enforcement, SEC Examinations, Smaller Advisers

SEC Publishes 2023 Examination Priorities

The SEC’s 2023 examination priorities reflect the agency’s broader focus areas, emphasizing an adviser’s fiduciary duty to act in its clients’ best interest, cybersecurity, ESG, and compliance with the new Marketing Rule.

February 09, 2023

Tags: FinTech, Cybersecurity, ESG, Examinations, Fiduciary, Marketing Rule, Private Funds

IAA Briefs Members on 2023 Policy Landscape

In their annual Briefing Webinar, IAA staff discussed the implications of the current legislative and regulatory landscape for investment advisers, including expected policy themes for 2023 and IAA advocacy.

February 10, 2023

Tags: Advocacy, Cybersecurity, ESG, IAA on Capitol Hill, Marketing Rule, Outsourcing, SEC Investment Management, Webinars

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

IAA Member Survey Indicates SEC Severely Underestimates Cyber Proposal Costs

Results of the IAA’s 10-question member survey on the costs associated with the SEC’s cybersecurity proposal, which we believe the SEC severely underestimates. These results can help members benchmark their cybersecurity-related costs.

January 04, 2023

Tags: Cybersecurity, Surveys

SEC’s Gary Gensler and IAA’s Karen Barr Debate SEC Agenda for Advisers

In a conversation that touched on most of the top-of-mind regulatory issues facing advisers Karen Barr pressed Gary Gensler to recognize the important role advisers play in the lives of their clients and the unintended consequences potentially flowing from the SEC’s departure from its longstanding principles-based approach to adviser regulation.

October 19, 2022

Tags: Cybersecurity, ESG, Fiduciary, Gary Gensler, Karen Barr, Policy & Leadership Forum, Reg BI, SEC

Privacy and Cybersecurity: How Advisers Must Protect their Clients’ Most Valuable Asset

This article discusses advisers’ evolving federal, state, and cross-border regulatory obligations with respect to client data.

July 25, 2022

Tags: Privacy, Cybersecurity, Data Security

Agencies Update Regulatory Agendas, Custody Rule Proposal Expected Soon

Federal agencies issue Spring 2022 Reg Flex agendas; Custody Rule expected in near term, FTC premerger notification rule and anti-money laundering for advisers on the agenda.

June 27, 2022

Tags: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management

SEC Marketing Rule Continues To Be Top Compliance Concern, Survey Shows

The 2022 Investment Management Compliance Testing Survey identified advertising/marketing, cybersecurity, and climate change/ESG as the top concerns for compliance officers.

June 30, 2022

Tags: Climate, Compliance Testing, Conflicts of Interest, Cybersecurity, Digital Assets, ESG, Fees and Expenses, Marketing Rule, Private Funds, Research, Survey, Valuation

SEC Grows Crypto Assets and Cyber Unit in Division of Enforcement

SEC increases size of Enforcement unit devoted to crypto assets and cybersecurity.

May 13, 2022

Tags: Cybersecurity, Digital Assets, SEC Enforcement

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