On April 16, the SEC's Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert outlining issues related to compliance with Regulation S-P that it identified in its inspections of SEC-registered...more
4/26/2019
/ Broker-Dealer ,
Customer Information ,
Cybersecurity ,
Data Protection ,
Investment Adviser ,
OCIE ,
Opt-Outs ,
Personally Identifiable Information ,
Policies and Procedures ,
Regulation S-P ,
Risk Alert ,
Safeguards Rule ,
Securities and Exchange Commission (SEC)
SEC/CORPORATE -
SEC Amends the Definition of “Smaller Reporting Company” -
On June 28, the Securities and Exchange Commission announced that it adopted amendments to the definition of “smaller reporting company,” which...more
7/23/2018
/ Alternative Trading System (ATS) ,
Bitcoin ,
Corporate Governance ,
Derivatives Clearing Organizations ,
EU Benchmark Regulation ,
Risk Alert ,
Rule 701 ,
Securities Exchange Act ,
Smaller Reporting Companies ,
Sovereign Debt ,
UK Brexit ,
Virtual Currency ,
Volcker Rule
CFTC -
CFTC Suspends Need of Formal Notice for Position Disaggregation Relief -
On August 10, the Commodity Futures Trading Commission (the CFTC) issued no-action relief, eliminating the need for certain persons...more
Registered investment advisers should take note of recent pronouncements by the staff of the SEC's Division of Investment Management (the "Division") regarding Rule 206(4)-2 (the "Custody Rule") of the Investment Advisers Act...more
On September 22, 2015, the Securities and Exchange Commission (SEC) filed a settled administrative proceeding[1] alleging that a registered investment adviser failed to adopt cybersecurity procedures in violation of an SEC...more