SEC: CCO Should Have Active Role in Cybersecurity
While a cyberattack is not a matter of "if" but "when," catastrophic attacks are unlikely, security expert Ronald Rowe said in an ICI panel discussion.
SEC Announces Compliance Outreach Seminars
The seminars will cover hot-button issues like cybersecurity, retirement planning and dual registrants.
SEC Releases Cybersecurity Guidance for RIAs
SEC's Division of Investment Management released guidance to help advisors and funds address cyber risks.
NASAA Adopts Model Succession Plan Rules
The rules are meant to be a roadmap for states. The SEC is developing its own succession planning rules for RIAs.
SEC’s Ability to Deliver True Fiduciary Standard in Doubt: Report
Institute for the Fiduciary Standard says the SEC believes "conflicts are routine and acceptable — not inherently inconsistent with providing objective advice.”
SEC Mulls Adding SMA Info to Form ADV
The regulator may also be considering asking about leverage, securities lending and other factors to better gauge risk, IAA says.
Gifts and Entertainment: SEC Reminds Advisors of the Rules
An SEC Guidance Update is a good reminder of the G&E limitations on funds and their advisors; RIAs and BDs should take heed as well.
SEC to Mull Accredited Investors, Advisor Succession Plan Rules
At Investor Advisory Committee meeting, Mary Jo White talks of fiduciary rule, advisor exams, succession plans and TDF rules.
SEC Investment Management Director Champ to Exit
Champ played a key role in the SEC’s money market fund reforms and instituted regular IM Guidance Updates. He will teach at Harvard Law.
Fiduciary September and What’s Possible
What we learned during Fiduciary September from John Bogle, John Taft, Barbara Roper, Troy Paredes and Robert Plaze.