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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SonicWall Issues and Retracts Alert of Hackers Exploiting Zero-Day Vulnerability Within SonicWall VPN

SonicWall, a company providing firewalls and other cybersecurity solutions, issued an alert indicating that it had found a probable zero-day vulnerability with its SMA 100 series products on Jan. 22, 2021.

Who is Gary Gensler? What New SEC Leadership Could Mean for Investment Advisers

President Biden recently named Gary Gensler as his pick to be the new chairman of the Securities and Exchange Commission.

Investments in Certain Chinese Companies Restricted Under New Executive Order

The U.S. Securities and Exchange Commission issued a Risk Alert in response to an Executive Order regarding investments in certain Chinese companies.

Hackers Use Mimecast Certificate to Access Microsoft Accounts

On Jan. 12, 2021, the cloud-based email security and management provider Mimecast disclosed that one of its digital certificates was hacked.

The DOL’s New Fiduciary Rule Exemption: What You Should Know

DOL finalized its new fiduciary rule exemption to allow advisers to receive compensation for otherwise prohibited rollovers.

Scam Risks in 2021 and How to Avoid Them

Cybercriminals are becoming increasingly sophisticated and continue to find new ways to compromise both individuals’ and firms’ data security.

The SEC’s New Marketing Rule: Here’s What You Should Know Now

SEC amendments to the advertising and cash solicitation rules could bring significant changes to investment advisers.

The Top 10 Regulatory Headlines for Investment Advisers

Amid the unique changes and challenges 2020 has brought, there has been plenty of regulatory news from the SEC and OCIE.

Firm Fined for Violating Custody Rule and Miscalculating Performance Fees

The U.S. SEC charged a private fund adviser with violating sections of the Advisers Act governing performance fee calculations.

SEC Exam Trends: 5 Areas of Focus for RIAs

Examiners may focus on certain compliance risks that have been identified or those itemized in a Risk Alert.

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