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NASAA Highlights Rising Cybersecurity Deficiencies Among Investment Advisers
The North American Securities Administrators Association ("NASAA") reported examination findings at state-registered investment advisers, highlighting the rising rate of cybersecurity deficiencies.
United States
12 Sep 2019
OCIE Warns Advisers To Comply With Principal Trading And Agency Cross Transaction Provisions
The SEC Office of Compliance Inspections and Examinations ("OCIE") urged investment advisers to review written policies and procedures so as to maintain compliance with the restrictions
United States
10 Sep 2019
Commission Interpretation – Standard Of Conduct For Investment Advisers
The Securities and Exchange Commission (the "SEC") on June 5, 2019 released an interpretation of the standard of conduct required by the Investment Advisers Act of 1940 (the "Advisers Act") of investment advisers as fiduciaries to their clients.
United States
11 Jul 2019
NFA Proposes Changes To Membership And Qualification Requirements
The NFA proposed (i) amendments to NFA Bylaw 301 and NFA Compliance Rule 2-24, and (ii) an Interpretive Notice relating to proficiency requirements for individuals engaged in swaps activities.
United States
18 Mar 2019
President Signs Bill Exempting Rural Advisers from Registration
President Trump signed into law the "RBIC Advisers Relief Act of 2018" (the "Act"). The new law amends the Investment Advisers Act to "exempt investment advisers
United States
10 Jan 2019
CFTC Proposes To Simplify Regulatory Obligations For CPOs And CTAs
Based on the information and suggestions that the CFTC received as part of its Project KISS, the CFTC proposed simplifying regulatory obligations for CPOs and CTAs by codifying staff advisories and no-action...
United States
12 Oct 2018
SEC Withdraws No-Action Letters Regarding Reliance On Proxy Advisors
In anticipation of an SEC Staff Roundtable on the proxy process, the SEC Division of Investment Management staff withdrew two no-action letters from 2004 regarding the Proxy Voting Rule.
United States
18 Sep 2018
Choose One: Best Interest Or Full Service
On April 18, the SEC approved the publication of three releases proposing new regulatory requirements that are intended to expand and clarify the duties that broker-dealers and investment advisers...
United States
3 May 2018
SEC Actions Demonstrate Focus On Wealth Management
The SEC is prioritizing activities by investment advisers that directly impact retail investors, the attorneys said
United States
23 Mar 2018
Under Advisement: SEC Scrutinizes Wealth Management Industry
Recent events have made it clear that there is an increased regulatory focus on the conduct of investment professionals in the wealth-management industry.
United States
22 Mar 2018
CPO To Pay $150,000 For Inadequate Supervision Of Fund Administrator
A commodity pool operator ("CPO") agreed to pay a fine for failing to supervise the fund administrator's operation of the pool's bank account from which investor assets were fraudulently withdrawn by third parties.
United States
6 Oct 2017
NASAA Proposes Rule Change On Adviser Access To Client Accounts
The North American Securities Administrators Association, Inc. ("NASAA") requested comments on a rule proposal related to investment adviser access to client accounts.
United States
11 Aug 2017
CFTC Approves Amended Rules For CPO Financial Reports
The CFTC approved amendments to Part 4 of the CFTC Rules that (i) allow CPOs to use alternative accounting standards in preparing financial statements for non-U.S. pools, and (ii) adopt exemptions...
United States
25 Nov 2016
The Trump Administration: Change By Appointment
Many experts are engaged in educated speculation about the regulatory priorities of the now-forming Trump Administration.
United States
23 Nov 2016
The Trump Administration: Change By Appointment
The election of Donald J. Trump as the 45th President of the United States, along with the Republican control of the majority of both the House of Representatives and the Senate...
United States
23 Nov 2016
Federal Register: CFTC Proposes Amendments To CPO Annual Report Requirements
The CFTC proposed amending certain regulations applicable to Annual Reports that commodity pool operators ("CPOs") must distribute for each commodity pool that it operates.
United States
12 Aug 2016
SEC Proposal Would Require Business Continuity And Transition Plans For Investment Advisers
Citing the ongoing risk of terrorist and cyber-attacks, the 2008 financial crisis, and Hurricanes Katrina and Sandy, the SEC has issued proposed rules under the Investment Advisers Act of 1940.
United States
4 Jul 2016
FinCEN Issues Final Rules For Customer Due Diligence Requirements
On May 11, 2016, the Financial Crimes Enforcement Network ("FinCEN") issued the final version of its long-awaited "Customer Due Diligence Rules" under the Bank Secrecy Act.
United States
23 May 2016
SEC Issues No-Action Letter Regarding Independent Verification Under The Advisers Act
Regulators should be commended for granting this kind of common-sense relief. It will help the advisers to whom it applies avoid duplicative surprise examination expenses.
United States
5 May 2016
SEC Focus On Expense Allocation: In The Matter Of KKR
On June 29, 2015, the SEC charged Kohlberg Kravis Roberts & Co. L.P., an SEC-registered investment adviser, with misallocating more than $17 million in broken deal and diligence expenses...
United States
14 Jul 2015
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