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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The SEC Adopts New Amendments to its Whistleblower Program

On August 26, 2022 the SEC adopted two amendments to the rules guiding its whistleblower program, according to a press release from the SEC.

The FTC’s Advance Notice of Proposed Rulemaking on Commercial Surveillance and Data Security

The Federal Trade Commission (FTC) published an advance notice of proposed rulemaking (ANPR) on commercial surveillance and data security practices.

Private Fund Examination Requests and Record-Keeping

EXAMS published the second ever risk alert aimed at private funds, which encouraged strengthening compliance programs and disclosed practices.

Apple Releases Security Updates Fixing Two Security Flaws That Allow Access to Hacking of Mac OS, iPad OS, and iOS

Apple released emergency security updates on Aug. 17, 2022, to fix two zero-day vulnerabilities that attackers were exploiting to gain access to Apple devices.

SEC Charges 18 Defendants in International Scheme to Manipulate Stocks Using Hacked US Brokerage Accounts

The SEC charged individuals involved in a scheme in which dozens of accounts were hacked and used to purchase microcap stocks to manipulate the price.

Proposed Amendments to Form PF

The SEC proposed amendments to Form PF that “are designed to provide greater insight into private funds operations and strategies”.

SEC Charges JPMorgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Theft

The SEC announced in a press release that it separately charged J.P. Morgan Securities LLC, UBS Financial Services Inc., and TradeStation Securities, Inc. for deficiencies in their programs to prevent customer identity theft.

SEC Examination Requests Regarding E-signatures

SEC’s Division of Exams staff have been requesting information on advisers’ use of electronic signatures. Find out what you need to know.

The New Marketing Rule: Part 7 – Third Party Ratings

The new rule allows firms to use third-party ratings in their marketing materials, provided that their use complies with the general prohibitions and provides the required disclosures.

The New Marketing Rule Part 6 – Categories of Performance and Their Requirements

Our series of Flash Reports addresses common questions RIAs may have about the new rule and its impact on compliance. If you have questions, we can help.

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