Category: News
SEC Finalizes its Data Privacy (Reg S-P) Rule – What You Need to Know
The IAA believes that advisers should protect the confidentiality of client PII and inform clients of any breaches. We thus support requirements for advisers to have a principles-based incident response program that addresses unauthorized access to or use of client PII and notification of a breach to affected clients.
May 16, 2024
Tags: Cybersecurity, Data Security
New Customer Identification Program (CIP) Proposal for Investment Advisers – What You Need to Know
The Financial Crimes Enforcement Network (FinCEN) and SEC recently released a joint proposal outlining potential Customer Identification Program (CIP) regulations for investment advisers.
May 14, 2024
Tags: AML, SEC, Treasury Department
IAA Comments on AML Proposal for Investment Advisers
The IAA has recommended changes to the Treasury Department’s proposed AML rule for investment advisers.
April 15, 2024
Tags: AML, Treasury Department
FTC Bans Most Worker Noncompete Clauses
Employers must notify workers that most existing non-compete clauses are unenforceable.
April 24, 2024
Tags: Employment, FTC, Non-Compete
Changes to DOL’s Fiduciary Rule and Rollover Exemption
The DOL has finalized changes to its Investment Advice Definition and related prohibited transaction exemption (PTE 2020-02).
April 24, 2024
Tags: DOL, ERISA, Fiduciary, PTE 2020-02
SEC Issues Marketing Rule Risk Alert
The Risk Alert discusses the SEC staff’s observations from examinations of investment advisers for compliance with the Marketing Rule.
April 19, 2024
Tags: Form ADV, Examinations, Marketing, Recordkeeping
Highlights from SEC Speaks Conference
Senior SEC staff discuss current priorities and initiatives at the SEC Speaks conference.
April 05, 2024
Tags: SEC Enforcement, SEC Examinations, SEC Investment Management
Changes to DOL’s QPAM Exemption: What You Need to Know
The DOL has finalized changes to its Qualified Professional Asset Manager (QPAM) Exemption, making some significant changes from the proposal.
April 02, 2024
Risk Alert and FAQs on T+1 – Shortening the Trade Settlement Cycle
SEC staff issues Risk Alert and FAQs on T+1 transition.
March 28, 2024
Tags: Recordkeeping, Securities settlement, T+1
The SEC’s Amended Internet Adviser Rule
The SEC has amended the internet adviser exemption to require advisers relying on this exemption to have internet clients only.
March 28, 2024
Tags: Internet adviser
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