Search results
FinCEN AML Alert Part 2: Customer Identification Program Requirements for Investment Advisers
The National Law Review· 23 hours agoCIPs are intended to...
SEC Adopts Amendments to Expand the Requirements of Regulation S-P for Registered Investment...
JD Supra· 1 day agoOn May 16, 2024, the SEC adopted amendments (the “Amendments”) to Regulation S-P to require SEC-registered investment advisers and broker-dealers (collectively ...
SEC and FinCEN Propose New Rule: Mandatory Customer Verification for Investment Advisers in 2024
The National Law Review· 3 days agoOn May 13, the US Securities and Exchange Commission (SEC) and the US Department of the Treasury’s...
Crypto for Advisors: Advisors and Crypto
CoinDesk via Yahoo Finance· 2 days agoThe day...education. Advisors must understand the available options, strategic allocation, investment theses, regulatory landscape and compliance
SEC Modernizes Data Protection Rules for Safeguarding Customer Information | JD Supra
JD Supra· 4 days agoThe amendments apply to broker-dealers, investment companies, registered investment advisers and transfer agents registered& ...
SEC Tightens Cybersecurity Requirements with Regulation S-P Amendments | JD Supra
JD Supra· 1 day agoFor covered institutions (generally, broker-dealers, investment companies, registered investment advisers, and transfer agents), the ...
Anson Funds, affiliate to pay $2.25M for fund disclosure violations
Compliance Week· 2 days agoDallas-based registered investment adviser Anson Funds Management and Toronto-based exempt reporting...
SEC Adopts Data Privacy Rule Amendments to Regulation S-P | JD Supra
JD Supra· 5 days agoQuick Take: The SEC adopted amendments to Regulation S-P imposing new data privacy and security requirements on broker-dealers, registered investment ...
Make Sure Your Retirement Advisor Has The Training And Experience To Help You
Forbes· 1 day agoNowadays, you can find many people who call themselves “financial planners” or “retirement...
Fifth Circuit Vacates SEC’s Private Fund Advisers Rule | JD Supra
JD Supra· 1 day agoThe Fifth Circuit Court of Appeals has vacated a Securities and Exchange Commission rule that represented one of the most significant changes to regulating private funds and private fund advisers ...
