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...more
2/14/2022
/ Annual Filings ,
Broker-Dealer ,
California Consumer Privacy Act (CCPA) ,
Cayman Islands ,
Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Cybersecurity ,
Data Protection Acts ,
Deadlines ,
Eligibility ,
Exempt Reporting Advisers (ERAs) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Statements ,
Form 13F ,
Form 13H ,
Form ADV ,
Form PF ,
Form PQR ,
General Data Protection Regulation (GDPR) ,
IARD ,
Investment Adviser ,
Multi-Factor Authentication ,
Privacy Policy ,
Rule 506 ,
Securities and Exchange Commission (SEC) ,
Security Audits
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 September 26, in the Securities and Exchange Commission’s (“SEC”) first enforcement action for violations of Regulation S-ID (the “Identity Theft Red Flags Rule”), Voya Financial Advisors Inc. (“VFA”), an SEC-registered...more