News & Insights: Flash Reports

More than just the facts, Flash Reports provide context for what’s currently happening in the industry and translate that into what it means for your business.

SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information

The SEC adopted amendments to Regulation S-P requiring broker-dealers, investment companies, registered investment advisors, and transfer agents to implement and maintain policies and procedures regarding an incident response program that are designed to detect, respond, and recover from unwarranted access or use of client information.

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Goldman Sachs Fined $4M for Policy Failures of ESG Investments

The SEC charged Goldman Sachs Asset Management, LP, with maintaining inadequate and inaccurate policies governing its ESG investment strategies.

NSCP Currents: PTE 2020-02 Retrospective Reviews

Firms must conduct an annual retrospective review, NSCP Currents provides perspective on the annual retrospective review for exemptive relief under PTE 2020-02.

The SEC’s New Proxy Rule: What You Need to Know

On November 2, 2022, the Securities and Exchange Commission (SEC) adopted rule and form amendments.

SEC New Marketing Rule Compliance Date Reminder

Investment advisers can no longer choose to comply with previous advertising and cash solicitation rules following the Nov. 4, 2022, compliance deadline for the new Marketing Rule, rule 206(4)-1, under the Advisers Act.

2023 IARD Annual Renewal Message

Every year at this time, Renewal Statements for advisers are posted in the IARD Portal. These fees are collected for system processing and jurisdiction-related renewals.

CISA Issues Guidance on Numbers Matching and Phishing-Resistant Multifactor Authentication

The CISA published two fact sheets on October 31, 2022, outlining the dangers to accounts and systems when applying specific types of MFA.

SEC Proposes New Rule on Outsourcing by Investment Advisers

On Wednesday, Oct. 26, 2022, the SEC proposed a new rule and amendments regarding the due diligence of service providers.

Typosquat Campaign Mimics 27 Brands to Push Windows, Android Malware

A massive typosquat campaign has come to light with over 200 typosquatting domains impersonating 27 brands to push Windows and Android malware.

Electronic Communications Recordkeeping: SEC Examination Requests

After landmark penalties against 16 Wall Street Firms, the message is clear: firms are expected to abide by the SEC recordkeeping rules, especially around communication.

Uber’s 2016 Data Breach Cover-Up Results in Former Security Chief’s Conviction

Joe Sullivan, former chief security officer for Uber, was convicted on federal charges related to a ransom payment he authorized following a 2016 security breach.

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