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 has submitted a comment letter urging the SEC to make additional changes to its proposed rule relating to the safeguarding of advisory client assets.
If lawmakers cannot reach an agreement on government funding by the end of this week, a shutdown will occur at the beginning of the fiscal year on October 1.
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.
Reflecting an ongoing focus on both oversight of branch offices and safeguarding of client information, the SEC’s Division of Examinations has issued a Risk Alert on the “importance of establishing written policies and procedures for safeguarding customer records and information at branch offices.”
Senate Republicans are calling on the SEC’s Inspector General to investigate the agency’s “aggressive regulatory agenda” under Chair Gary Gensler to ensure smaller advisers have a seat at the table.
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