Tag: Cybersecurity
IAA Advocacy on SEC Rulemaking
The IAA submitted comments to the SEC on three major rule proposals affecting investment advisers – cybersecurity, beneficial ownership, and T+1 settlement.
April 15, 2022
Tags: Advocacy, Cybersecurity, SEC, Securities Settlement Cycle
SEC Publishes Examination Priorities for 2022
The SEC’s Division of Examinations has issued its examination priorities for 2022, which are in line with recent regulatory initiatives and rulemakings directed at advisers.
April 01, 2022
Tags: BCP, Best Execution, Cybersecurity, Digital Assets, ESG, Examinations, Form CRS, Private Funds, Revenue Sharing, SEC Examinations, Technology, Wrap Fees, Zero Commissions
Birdthistle, Crenshaw Headline IAA Compliance Conference
The SEC’s Crenshaw and Birdthistle spoke at the 2022 IAA Investment Adviser Compliance Conference about cybersecurity, cryptocurrency, and other digital topics.
March 24, 2022
Tags: Caroline Crenshaw, Cybersecurity, Digital Assets, Gary Gensler, William Birdthistle
SEC Proposes New Public Company Cybersecurity Reporting and Disclosure Rules
SEC proposes public company cybersecurity risk management, strategy, and governance and notification of material cybersecurity incidents.
March 10, 2022
Tags: Cybersecurity, Hester Pierce, SEC
SEC Proposes Cybersecurity, Private Fund Adviser Rules
The SEC has issued three rulemaking proposals – on cybersecurity, private fund advisers, and shortening the settlement cycle – that will have major implications for investment advisers.
February 09, 2022
Tags: Form ADV, Cybersecurity, Hester Peirce, Private Funds, Trading
SEC Chair Signals New Cybersecurity Requirements in the Works
SEC’s Gensler calls on staff for recommendations on cyber hygiene, incident reporting, public disclosure.
January 27, 2022
Tags: Cybersecurity
Agencies’ Regulatory Agendas Include AML, Cybersecurity, ESG, and More
Federal agencies have released updates to their regulatory agendas, which include several important new potential regulations for investment advisers, most notably regarding anti-money laundering, cybersecurity, and private fund advisers.
December 15, 2021
Tags: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management
Cybersecurity Mandate for Fed Agencies: Remediate Urgent, Active Threats
In a new strategy to reduce government agencies' exposure to cyber attacks, the Cybersecurity and Infrastructure Security Agency (CISA) is instructing the SEC and DOL among others to quickly remediate a list of 290 active threats.
November 12, 2021
Tags: Cybersecurity
SEC’s Roisman Calls for Cybersecurity Rules and Guidance for Advisers
SEC Commissioner Elad Roisman is urging the SEC to provide more clarity around advisers’ cybersecurity obligations, underscoring the need to set clear expectations and promote protection of client account data as firms' reliance on technology grows.
November 04, 2021
Tags: Privacy, Cybersecurity, Elad Roisman
SEC Ramping Up Scrutiny of Cybersecurity at Investment Advisers
The SEC continues to ramp up its exam and enforcement focus on cybersecurity, focusing on cyber breach response procedures and protection of client information.
October 10, 2021
Tags: Columns, Compliance Corner, Cybersecurity, SEC Enforcement
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