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JD Supra: SEC Settles with Five Investment Advisers for Marketing Rule Violations
JD Supra· 10 hours agoThe SEC recently settled charges against five registered investment advisers for violations of the marketing rule (“Marketing Rule”) under the Investment Advisers Act of 1940 (“Advisers...
SEC and FinCEN Propose Customer Identification Program Requirements for Certain Investment Advisers...
JD Supra· 23 hours agoI. INTRODUCTION - On May 13, 2024, the US Securities and Exchange Commission (“SEC”) and the US Department of the Treasury’s Financial...
Regulatory Roundup for May 2024 | JD Supra
JD Supra· 2 days agoThe SEC adopted extensive new requirements under Regulation S-P that will require broker-dealers, investment companies, registered < ...
SEC and FinCEN Propose Customer Identification Program Requirements for Registered Investment...
JD Supra· 3 days ago(FinCEN) jointly proposed a new rule that would require certain investment advisers to establish customer identification programs (CIPs). A CIP would need to include risk-based ...
FinCEN and SEC Propose Rulemaking Requiring CIP for Investment Advisers | JD Supra
JD Supra· 3 days agoOn May 13th, the Financial Crimes Enforcement Network (FinCEN) and the Securities Exchange Commission (SEC) issued a joint notice of proposed rulemaking (NPRM) that would require SEC-
SEC Expands Security and Breach Notification Requirements for Investment Firms | JD Supra
JD Supra· 23 hours agoBrokers, dealers, investment companies, investment advisers, crowdfunding portals, and transfer agents registered with the SEC or another ...
SEC Final Rules and the Impact on Canadian Advisers | JD Supra
JD Supra· 5 days agoInvestment Advisers Act of 1940 (the Act) in the fall of 2023 that impact the regulation of...private fund advisers (Advisers). Under the Final Rules, Advisers registered ...
JD Supra: Top Tips for Updating Your 2024 Compliance Program
JD Supra· 3 days agoEvery year compliance officers face the unenviable job of performing their compliance program's...
FinCEN Seeks To Expand Reach of the BSA and Modernize Customer Identification Regulations | JD Supra
JD Supra· 2 days agoSecurities and Exchange Commission (SEC)-registered investment advisers (RIAs) and exempt reporting advisers (ERAs) to establish, document and maintain ...
SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information | JD...
JD Supra· 4 days agoIncident Response Program: Covered firms are now required to develop, implement and maintain...