Advisors Mobilize for More Cybersecurity Threats
The buzz around cyberattacks was a hot topic at the T3 conference as the SEC and FINRA mull IT-related controls.
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.
FINRA Hires SEC Data Analytics Guru Kurtas for New Post
Kurtas will focus on “improving how FINRA analyzes and uses the data it currently gathers from firms,” the self-regulator says.
SEC to Conduct ‘IT-Related’ Exams of BDs, Advisors
Examiners will take a targeted look this year at “the quality of the technical infrastructure” of firms’ cybersecurity controls.
BDs’ Cybersecurity Stronger Than Advisors’: SEC, FINRA Reports
Both the SEC and FINRA will "likely bring enforcement actions if firms’ policies and procedures are found to be deficient,” warns Sutherland's Brian Rubin.
SEC Would Hire 431 Under Obama’s 2016 Budget
The new hires would come in addition to the 105 examiners the SEC plans to hire in fiscal 2015.
Is a ‘Presence Exam’ in Your Future, RIA?
SEC exam chief Andrew Bowden said at a January hedge fund conference in New York that the agency's Office of Compliance Inspections and Examinations will use the “presence exams” that it used to audit newly registered private fund advisors on never-examined advisors in 2015.
Is There Really an Advisor Exam Problem?
Head scratching continues over what to do about boosting SEC advisor exams — or whether the supposed deficiency is just a political football.
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.
GOP Thwarts Rep. Waters’ Effort to Add User-Fees Bill to Dodd-Frank Package
GOP lawmakers blocked the user-fees bill aimed for the Dodd-Frank rollback package that passed the House on Wednesday.