Examiners will use the releases. “If you ignore what’s being said, you do so at your own peril”
“Data classification is right there in the beginning with risk analysis” when starting to confront cyber threats
In a few days, the SEC will have answers from most advisers about their use of the new ad rule via several new Form ADV ...
Eliminating sensitive computer data can be as stubborn as a tempestuous two-year-old. But failing to do so, can come with a high cost
The SEC's exams division seeks 20 new staffers, with some dedicated to examining “the growing number of registered investment advisers, including those that advise private ...
Technological advancements, changing demographics and rapid growth are capturing the attention of the Division of Investment Management
Re-papering agreements. Establishing new compliance P&Ps. Reining in marketer expectations. While the new SEC IA ad rule will give you great flexibility, it also hands ...
The current Reg S-P requires firms to alert customers how they will use their information. The SEC proposed amending Reg S-P in 2008 but it ...
If this were a boxing match, the SEC would be left bloodied—in a contest over the Commission’s proposed mutual fund liquidity risk and swing pricing ...
While the impact of the failures of Silicon Valley and Signature banks on the larger economy remains uncertain, pain has trickled down upon the banks’ ...