On June 28, 2016, the Securities and Exchange Commission (“SEC”) proposed a rule that would require all SEC-registered investment advisers to adopt and implement a business continuity and transition plan (“BCP”). The BCP...more
7/9/2016
/ Business Continuity Plans ,
Business Disruption ,
Cyber Attacks ,
Data Security ,
Disaster Preparedness ,
Investment Company Act of 1940 ,
Natural Disasters ,
Proposed Regulation ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Terrorist Acts ,
Third-Party Service Provider
The Financial Crimes Enforcement Network (FinCEN) has proposed long-expected regulations that would extend anti-money laundering (AML) requirements to federally registered investment advisers (RIA). The August 25, 2015...more
9/4/2015
/ Banking Examinations ,
Banks ,
Broker-Dealer ,
BSA/AML ,
Dodd-Frank ,
Due Diligence ,
Enforcement ,
Financial Institutions ,
FinCEN ,
Industry Examinations ,
Investment Adviser ,
Investment Funds ,
Private Investment Funds ,
Proposed Regulation ,
Public Comment ,
SAR