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SEC and FinCEN Propose New Rule: Mandatory Customer Verification for Investment Advisers in 2024
The National Law Review· 4 days agoOn May 13, the US Securities and Exchange Commission (SEC) and the US Department of the Treasury’s...
SEC Adopts Cybersecurity Amendments to Regulation S-P
The National Law Review· 6 days agoAs discussed in further detail below, the Amendments will require broker-dealers, investment...
SEC Adopts Amendments to Expand the Requirements of Regulation S-P for Registered Investment...
JD Supra· 2 days agoOn May 16, 2024, the SEC adopted amendments (the “Amendments”) to Regulation S-P to require SEC-registered investment advisers and broker-dealers ...
SEC Private Fund Rule Struck Down by US Appeals Court | JD Supra
JD Supra· 5 days agoA U.S. appeals court struck down a newly adopted Securities and Exchange Commission (“SEC”) rule...
SEC Settles Charges Against Dually-Registered Broker-Dealer and Adviser for Alleged Failure to...
JD Supra· 2 days agoOn May 21, 2024, the SEC announced the settlement of administrative proceedings brought against a dually-registered broker-dealer and investment adviser ...
SEC Modernizes Data Protection Rules for Safeguarding Customer Information | JD Supra
JD Supra· 5 days agoThe amendments apply to broker-dealers, investment companies, registered investment advisers and transfer agents registered with the SEC
SEC.gov | Oral Testimony before the Subcommittee on Financial Services and General Government
U.S. Securities and Exchange Commission· 3 days agoAs is customary, I’d like to note that my views are my own as Chair of the SEC, and I am not speaking on behalf of my fellow Commissioners or the SEC staff ...
FinCEN AML Alert Part 2: Customer Identification Program Requirements for Investment Advisers
The National Law Review· 2 days agoCIPs are...
Fifth Circuit Vacates SEC Private Fund Adviser Rules | JD Supra
JD Supra· 3 days agoCircuit (the “Fifth Circuit”) unanimously vacated the “Private Fund Adviser Rules,”[1] which the U.S. Securities and Exchange Commission (the SEC) adopted in August 2023, ...
SEC fines short-seller over secret payments to researcher
Market Watch· 4 days agoMoney managers Anson Funds Management and Anson Advisors used their Cayman Islands registered Anson...