The Financial Crimes Enforcement Network (FinCEN) and SEC recently released a joint proposal outlining potential Customer Identification Program (CIP) regulations for investment advisers.
The IAA submitted comments to the SEC on three major rule proposals affecting investment advisers – cybersecurity, beneficial ownership, and T+1 settlement.
SEC Proposes to Substantially Reduce Form 13F Reporting by Increasing Threshold July 13, 2020 The SEC is proposing to raise the Form 13F reporting threshold for institutional investment managers...
New SEC, CFTC Staff Guidance on Coronavirus-Related Issues March 17, 2020 As the coronavirus continues to cause unprecedented challenges, the IAA has aggregated several breaking regulatory updates to keep...
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