Investment Adviser News & Guidance
If you set your clients’ passwords using the last four digits of their Social Security number, stop immediately. This was one of the takeaways from IA Watch’s Cybersecurity for Financial Services conference May 16 in Washington, D.C. (see related story). Jeffrey Ramsey, the COO/CCO at Lee Financia...
IA Watch recently ran across an RFP from the SEC that could lead to a process for the agency to better hear from investors and advisers on what they think of new regulations. “We hear very little from the investors who stand to benefit from the rulemaking,” Rick Fleming, who runs the SEC’s Office ...
As the Department of Labor official responsible for crafting the new fiduciary rules, Timothy Hauser is much listened to. And from the nuances of exemptions to balancing enforcement and compliance, he had a lot to say, at a May 11 SIFMA seminar in New York. Here are some highlights: Reasonable com...
Full text of the Securities Acts, final and proposed rules, enforcement actions and regulatory releases.
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Speeches from key industry regulators
Full listing of live events and on‑demand webinars (for members).