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You're directed to report “if your cloud service providers have been affected by this attack"
The new report provides “hallmarks” of effective compliance programs detected by the agency over the years
SEC states chief compliance officers, and other compliance staff play critically important roles at firms
“I think it’s going to be a big year for adviser regulations”
Sample what your peers aim to achieve in the new year
These items become effective this year
The report states that firms must “accept the reality that cyber breaches are inevitable”
The proposal would keep the current financial tests for establishing who is an accredited investor but also would add new categories
A divided Commission has adopted a package of SEC rules and guidance that proponents hope will at long last bring some clarity to the securities-based ...
GPB raised the sum over five years and at its peak, more than five dozen broker-dealers signed on to sell the adviser’s funds. The B-Ds ...
“There’ll be a lot more ads to approve” if the proposal is finalized
Sanctioning of CCO illustrates perils facing small firm CCOs
SEC proposes changing the advertising rule for the first time in decades
“It’s better to take a conservative position” and disclose that you’ll make more money in a rollover
The SEC doesn’t require that firms encrypt sensitive documents
That result doesn’t sit well with the Investment Adviser Association
Four FAQs make up the SEC's first on the new form
The SEC specifically notes that these new duties wouldn’t “supplant or by itself satisfy” an IA’s fiduciary duty
Any final rule would replace decades worth of SEC guidance
The 2020 will cover a broad array of topics

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