Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published today.
At the 2024 IAA Investment Adviser Compliance Conference, a panel of compliance experts discussed the SEC’s current focus on off-channel communications and how advisers should respond.
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.
On the heels of a group of recent settlements of charges relating to record-preservation practices at large brokerage firms, the SEC is turning its attention to investment advisers – conducting an enforcement sweep of record-retention practices at large advisers of all types.
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