Amended Reg S-P would require the customer notice of a breach that would have to be “in writing,” either on paper or electronically
Nearly 80% don’t showcase specific investment advice. Advisers have not embraced sharing testimonials (92% don’t), endorsements (85% don’t) or third-party ratings (83% don’t)
"Under these amendments, covered firms will be required to notify customers of breaches that might put their personal data at risk"
The Fund filed a lawsuit against Production Company A, the Joint Venture, and Film Studio A seeking repayment of the amounts outstanding on these loans, ...
He failed to disclose his financial interest in a group of private affiliated companies that had committed to investing $30 million in a company that ...
"It is difficult to envision a money laundering concern that should be addressed with these activities, and it is unreasonable to require advisers to implement ...
"The proposed rule is designed to make it more difficult to use false identities to establish customer relationships with investment advisers"
This is the joint SEC/FinCEN proposal that would require SEC RIAs to maintain a CIP or customer identification program
"The fundamental problem is that we are not examining investor protection, efficiency, competition, and capital formation in a steady state ecosystem. Rather, it is fast-changing, ...
"This Council should remain vigilant in monitoring the mortgage-backed securities market, including non-bank mortgage servicers and their associated risks — from liquidity risks to leverage ...