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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Avoid the risk of using common passwords– make your accounts more secure today

Password spray attacks target user accounts by attempting to access hundreds of thousands of accounts with the same common password at once, instead of testing many password combinations on a single account.

Private fund adviser ordered to pay over $1 million after violating partnership agreement

The SEC sanctioned a registered investment adviser for violating antifraud provisions of the Advisers Act. The violations stemmed from the adviser overcharging limited partners of a private equity fund it managed.

OCIE Risk Alert: common compliance program issues

OCIE released a Risk Alert outlining common compliance concerns among registered investment advisers. The list was compiled based on recent compliance examinations of advisers.

OCIE examiners report common branch office compliance deficiencies

The OCIE released a new Risk Alert outlining recent observations from examinations of SEC-registered investment advisers.

New Investment Company Act rule updates regulatory requirements for fund of funds arrangements

Recently, the SEC adopted a new rule and related amendments regarding fund of funds arrangements. Rule 12d1-4, aims to streamline a comprehensive regulatory approach to these arrangements.

IARD Annual Renewal Dates

Every year at this time, FINRA will post its Renewal Statements in the IARD Portal.

Reminder: Upcoming SEC Compliance Outreach Seminar

The seminar will focus on providing resources to Chief Compliance Officers and other senior members of registered investment advisers and investment companies.

Are your documents and website up to ADA standards?

The Americans with Disabilities Act of 1990 (ADA) lays out guidelines for how to make documents widely accessible. Learn more about how we can help.

SEC proposes exemption for finders helping small businesses raise capital

The SEC proposed a conditional exemption allowing certain market participants to be exempted from registering as brokers under federal securities laws.

ALERT: Phishing Attack Posing as FINRA Survey

The OCIE was recently made aware of a phishing attempt which could affect broker-dealers, investment advisers, and investment companies.

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