Tag: Recordkeeping
Practical Strategies to Deal with Imposter Frauds on WhatsApp and Other Social Media Platforms
Recap of the Latham & Watkins presentation to help advisers identify, prevent, and respond to imposter frauds.
November 22, 2024
Tags: Fraud, Recordkeeping, Social Media
Marketing Rule Toppled by Off-Channel Communications for Top Compliance Concern
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.
July 17, 2024
Tags: Climate, Compliance Testing Survey, Conflicts of Interest, Cybersecurity, Fees and Expenses, Marketing Rule, Off-Channel Communications, Private Funds, Recordkeeping, Research
SEC Continues to Focus on Off-Channel Communications
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.
April 19, 2024
Tags: Books & Records, Off-Channel Communications, Recordkeeping, SEC Enforcement
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
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
SEC Brings New Off-Channel Communications Cases, More to Come
SEC and CFTC enforcement cases for recordkeeping and supervision failures involving off-channel electronic communications on personal devices.
August 10, 2023
SEC Finalizes T+1 Rules, Proposes Massive Custody Rule Changes
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.
February 16, 2023
Tags: Custody, Division of Investment Management, Recordkeeping, Securities Settlement Cycle, Trading
Recordkeeping Cases Ensnare Large Brokers, RIAs Next
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.
October 19, 2022
Shortened Settlement Cycle on the Horizon
The SEC has proposed shortening the standard settlement cycle for most securities transactions from two business days after the trade date (T+2) to one business day after the trade date (T+1) by March 31, 2024.
February 18, 2022
SEC Proposes Significant Overhaul of Advertising and Solicitation Rules
SEC Proposes Significant Overhaul of Advertising and Solicitation Rules November 25, 2019 In a move that is long overdue, the SEC has proposed a comprehensive overhaul of the rules...
November 25, 2019
Tags: Form ADV, Advertising Rule, Recordkeeping, Solicitation Rule, Webinars
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