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Implementing 2017 SEC Custody Guidance: Analysis, Practical Implications, Next Steps

Operating Holding Companies and Transient Investment Company Status Clarified by SEC in Guidance Update

On March 24, ComplianceCast will address the complex Custody topic, tackling practical implications of what circumstances now will constitute custody.

The BCP and transition planning rule–SEC Rule 206(4)-4–has major implications for both compliance and operations. ComplianceCast covers the proposed rule requirements, concerns and impacts.

In recent remarks by Acting SEC Chair Michael S. Piwowar, he signaled his interest in revising the accredited investor threshold in an effort to level access to higher risk, higher return investments.

NIST has proposed an update to its Cybersecurity Framework to address service provider oversight

The news headlines continue to be filled with insider trading scandals. Now is a great time to provide employees with additional training on what constitutes insider trading and the potential repercussions of acting on such information.

Ascendant summarizes SEC and FINRA exam priority letters, highlighting key topics to investment advisers and broker-dealers, along with practical advice.

Ascendant Compliance Management announces its partnership with Compliance Solutions Strategies (“CSS”), a newly founded global compliance risk management company.

The SEC met its stated fiscal year 2016 goal by examining 11 percent of the investment adviser pool, meaning over 1,300 advisers were covered.

Some SEC exams might not focus on cyber at all, but the ones that do are likely to now include a more in-depth examination of it.

New York’s 23 NYCRR 500 Cybersecurity rule goes into effect on March 1, 2017 requiring banks and other financial services companies to establish and maintain a cybersecurity program designed to protect consumers and ensure the safety and soundness of the state’s financial services industry.