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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.

Flash Reports
16 Nov, 2023

Stay Vigilant to Help Prevent Cyberattacks During the Holidays

Cybercrimes tend to increase during the holiday season, as malicious actors take advantage of the increased employee travel and distractions that are more common during the holiday season. To help protect from cyberattacks during the busy holiday season, the FBI and CISA compiled several recommendations that employees can take now to prevent from these kinds of attacks.

Flash Reports
18 Jul, 2023

NSCP Currents: Home Wi-Fi Security Best Practices

In today’s hybrid work environment, firms are increasingly reliant on home networks that employees use to work remotely. Securing home Wi-Fi networks has become critical to safeguarding firm and client information.

Flash Reports
17 Jul, 2023

SEC Adopts Reforms for Money Market Funds and Amendments to Form PF Reporting by Large Liquidity Fund Advisers

On July 12, 2023, the SEC adopted amendments to Investment Company Act rules regarding money market funds and large private liquidity fund advisers. The amendments will be effective 60 days after publication in the Federal Register.

Flash Reports
11 Jul, 2023

SEC Examination Requests Regarding New Marketing Rule Compliance

The SEC has begun requesting more information in exams to assess compliance with the new Marketing Rule.

Flash Reports
30 Jun, 2023

The SEC’s Proposed and Final Rules and Key Dates

the SEC’s proposed compliance- and cyber-related rules, including associated dates and links to the full rules.

Flash Reports
20 Jun, 2023

SEC Fall Agenda and the Cyber Risk Management Rule

In October 2023, the SEC will finalize its Cyber Risk Management rule according to its fall agenda. The final regulation was initially expected to be released in April 2023, but that date was delayed due to the comment period reopening.

SEC Risk Alert on the New Marketing: Additional Areas of Focus for Examinations

EXAMS published a risk alert to inform investment advisers, including advisers to private funds, about areas of emphasis for examinations focused on Rule 206(4)-1 of the Investment Advisers Act of 1940.

Flash Reports
30 May, 2023

Cybersecurity Requests in SEC Exams

A current cyber sweep exam is underway by the Division of Examinations. The request list includes multiple items that align with proponents of the proposed cybersecurity rule

Flash Reports
28 May, 2023
Amber Allen

RIA Glossary of Cyber Terms

Use this term to brush up on key terms that may appear in your next SEC cybersecurity exam.

Flash Reports
23 May, 2023

Data Breach Hits BNY Mellon Wealth Business

This month, BNY Mellon’s N.A. division notified clients that one of its vendors’ systems was infiltrated, resulting in exposure of client data, including Social Security numbers, Ignites reported.

DOL Voluntarily Dismisses Appeal to Defend DOL PTE Fiduciary Guidance

The Department of Labor (DOL) voluntarily dismissed its appeal of the district court decision that struck down the DOL’s fiduciary reinterpretation of fiduciary status for advisers making rollover recommendations to retirement investors.