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FinCEN and SEC Propose Rulemaking Requiring CIP for Investment Advisers | JD Supra
JD Supra· 12 hours 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-
2024 Fiduciary Rule – Impact on HSAs and Health & Welfare Plans | JD Supra
JD Supra· 12 hours agoThe Department of Labor (“DOL”) recently released a final regulation (the “Fiduciary Rule”) redefining “investment advice” under the Employee Retirement Income Security Act ...
SEC Adopts Amendments to Regulation S-P That Require Reporting Breaches of "Sensitive Customer...
JD Supra· 1 day agoOn May 15, the Securities and Exchange Commission adopted amendments to Regulation S-P, which covers broker-dealers, registered investment advisors ...
Is Sarepta Therapeutics, Inc. (NASDAQ:SRPT) A Good Fast Growth Stock To Buy?
Insider Monkey via Yahoo Finance· 6 hours agoWe recently compiled the list of the 10 Best Fast Growth Stocks To Buy according to the hedge funds...
SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information
The National Law Review· 5 days agoOn May 16, 2024, the U.S. Securities and Exchange Commission (“SEC”) announced the adoption of...
Request for Comments on FinCEN and SEC rule on CIP | JD Supra
JD Supra· 5 days agoReg. 44571, requesting comments on the proposed requirement that certain investment advisers (“RIAs”) and exempt reporting advisors (“ERAs”), such as hedge ...
Money Laundering, Terrorist Financing, and Investment Advisors – Yes, Financial Crime is Borderless...
JD Supra· 5 days agoThere is a growing acknowledgement that money laundering and terrorist financing is borderless and legal entity-agnostic, just as it is already known that cybercriminals and the means to commit ...
SEC Amends Privacy Rule to Establish Data Breach Notification Standard | JD Supra
JD Supra· 1 day agoRegulation S-P – to establish a federal minimum standard for covered institutions to notify affected individuals of a data breach. While the amendments complement some state notification requirements ...
American States Water Company's (NYSE:AWR) recent 7.5% pullback adds to one-year year losses,...
Simply Wall St. via Yahoo Finance· 8 hours agoWith 13% and 5.9% of the shares outstanding respectively, The Vanguard Group, Inc. and State Street...
U.S. SEC Adopts Amendments to Reg S-P | JD Supra
JD Supra· 12 hours agoOn May 16, 2024, the SEC adopted amendments to Regulation S-P (“Reg S-P”). The finalized amendments (the “Amendments”) to Reg S-P are designed to address the expanded use of technology and corresponding ...
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