On August 12, 2020, the SEC Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert that identifies potential issues related to the COVID-19 pandemic for SEC-registered investment advisers and...more
9/16/2020
/ Broker-Dealer ,
Business Continuity Plans ,
Business Operations ,
Compliance ,
Coronavirus/COVID-19 ,
Data Protection ,
Fees ,
Investment Adviser ,
Investment Fraud ,
OCIE ,
Personally Identifiable Information ,
Policies and Procedures ,
Popular ,
Remote Working ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Supervision
Investment Advisers -
ANNUAL COMPLIANCE REVIEWS -
All investment advisers registered with the Securities and Exchange Commission (“SEC”) or at the state level are required to review their compliance policies and procedures...more
2/7/2020
/ Alternative Investment Fund Managers Directive (AIFMD) ,
California Consumer Privacy Act (CCPA) ,
Cayman Islands ,
Cooperative Compliance Regime ,
Cybersecurity ,
Data Protection ,
Derivatives ,
Employee Privacy Rights ,
EU ,
Exemptive Rule ,
FATCA ,
FBAR ,
Form ADV ,
Form CRS ,
Form D Filing ,
Form PQR ,
General Data Protection Regulation (GDPR) ,
Investment ,
Investment Adviser ,
Pay-To-Play ,
Personal Data ,
Popular ,
Securities and Exchange Commission (SEC) ,
Swaps
On April 28, 2015, the SEC’s Division of Investment Management (the “Division”) issued a Guidance Update regarding the SEC’s initiative to assess cybersecurity preparedness and threats in the securities industry, further...more