Implementing 2017 SEC Custody Guidance: Analysis, Practical Implications, Next Steps
On March 24, ComplianceCast will address the complex Custody topic, tackling practical implications of what circumstances now will constitute custody.
Throughout this article we provide information on the red flags of diminished capacity, warning signs of elder financial abuse, and guidance on steps registered investment advisers can take to protect senior clients and the RIA’s business.
The SEC is proposing a new rule 206(4)-4 under the Investment Advisers Act of 1940 that would require SEC-registered investment advisers to adopt and implement written business continuity and transition plans in order to legally operate under SEC jurisdiction. The rule … Read more
The SEC is proposing a new rule that would require SEC-registered investment advisers to adopt and implement written business continuity and transition plans in order to legally operate under SEC jurisdiction. If adopted, the rule would have significant impact on … Read more
The SEC has expanded its cybersecurity examinations to include testing of firms’ implementation of procedures and controls
The IAA has announced its public support of a bill that would provide relief from the “past specific recommendation” rule
Regulatory Concerns for Data Loss Prevention Introduction How confident are you in your firm’s information technology controls to prevent privacy breaches? The Securities and Exchange Commission is focusing its sights on investment advisers’ use of and increasing reliance upon technology … Read more