Carl Ayers
This is the SEC's proposed new rule that would require advisers to report cybersecurity incidents via new proposed Form ADV-C
This is the SEC's proposal for a cybersecurity rule for investment advisers
This is the SEC's proposed cybersecurity rule directed at registered funds
"Lurking behind the legal analysis, however, is an important question: Is the approach we are taking with crypto lending the best way to protect crypto ...
The Commission approved new rules under the Advisers and Investment Company acts and would create new Form ADV-C for firms to electronically report within 48 ...
The modern world doesn’t make it easy for compliance officers. The proliferation of personal devices and communications options collides with the need to preserve business ...
Here are two examples taken from recent DOE document request letters sent to advisers by the Division of Examinations and obtained by RCW
"The Commission invents investor harm and unduly paints the selling shareholder as a victim"
Wahed Invest had no written policies and procedures addressing how it would assure Shari’ah compliance on an ongoing basis or how it would calculate and ...
"Absent some pressing need to remedy inadvertent oversights, address unanticipated consequences, or deal with significant new factual developments, revisiting recently adopted rules subverts the regulatory ...