The IAA has submitted a comment letter urging the SEC to make additional changes to its proposed rule relating to the safeguarding of advisory client assets.
IAA letter calls on the SEC to conduct a holistic and cohesive review of the Outsourcing, Cybersecurity, Safeguarding, Regulation S-P, and the many other rule proposals affecting advisers, as well as for a reasonable and workable implementation timeline.
The IAA has submitted a comment letter urging the SEC to make substantial changes to its proposed rule related to the safeguarding of advisory client assets.
The SEC has finalized its rules to shorten the standard settlement cycle for most securities transactions and proposed amendments to the custody rule and related recordkeeping and Form ADV changes.
The SEC has fined a California-based registered investment adviser and its president for custody failures. The president, who was the majority owner of the adviser, facilitated $30 million in loans...
The SEC has fined a Connecticut-based investment adviser and its principal for inadequate disclosure of conflicts of interest related to investments of a private fund client and for violations of...
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