Among other things, this proposal would mandate that advisers must verify a customer’s or an entity’s identity 'within a reasonable time before or after the ...
You have until July 22 to comment on this joint SEC/FinCEN proposal that would require SEC-registered investment advisers and exempt reporting advisers to implement a ...
This is SEC 2866 that covers rules around providing information during an examination
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"The first trend I’d note is the sheer growth over many years of the private funds field. In aggregate, they grew more than 10 percent ...
"My reservations stem from the breadth of the rule and the likelihood that it will spawn more consumer notices than are helpful"
"Rapid technological change is now the norm and more frequent cybersecurity incidents and data breaches add additional risks that warrant Commission action to ensure that ...
"The final amendments do not require a financial institution to enter into a contract with its service providers to deliver data breach notices .... This ...
"Investments in alternative asset classes are growing .... This growth means that investors are increasingly allocating assets to unregistered funds by investing directly through products ...
RCW shares exclusive industry data, a look at a new proposal to mandate RIA customer identification programs, AI and advertising and much more