SEC

 

June 14, 2019
Outside of the U.S., the UK is home to the largest number of SEC Registered Investment Advisers globally. This, combined with FCA authorisation, requires the creation and implementation of a joint compliance program.
May 28, 2019
On May 23, the U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert regarding the security associated with cloud and network data storage solutions.
May 22, 2019
The U.S. Securities and Exchange Commission (SEC) has commenced a series of cybersecurity examinations on registered investment advisers (RIAs) which targets Form ADV data related to cloud service providers.
April 17, 2019
On April 16, the SEC's OCIE issued a risk alert detailing compliance issues from recent examinations of investment advisers and broker-dealers pertaining to privacy regulations.
April 9, 2019
The SEC's OCIE recently updated their document request list for cybersecurity examinations. Find out what's new in the document request list and how your firm should prepare for a cyber examination. 
March 27, 2019
Missed the 2019 Mutual Fund and Investment Management Conference? ACA's Jim Pappas shares his observations from the keynote session which featured a speaker from the SEC. 
March 18, 2019
The U.S. Securities and Exchange Commission (SEC) and its staff have been busy since the end of the recent partial government shutdown. While there is certainly much work behind the scenes we do not get to see, there is plenty of public work that registered investment companies should note. For instance, the following matters occurred during the last two weeks of February
January 30, 2019
Is your firm prepared for the SEC's new cyber focus areas for 2019? Find out what your firm needs to know, and what you can do to prepare.
January 4, 2019
The U.S. Securities and Exchange Commission (“SEC”) is currently operating in accordance with the agency’s plan for operating during a federal government shutdown.
December 21, 2018
On December 20, 2018, the U.S.