SEC Proposes Cybersecurity Management Rules for Investment Advisers and Funds

Complete Source of information : https://www.klgates.com/SEC-Proposes-Cybersecurity-Risk-Management-Rules-for-Investment-Advisers-and-Funds-3-9-2022. All Language quoted and attributed to the article On 9 February 2022, the U.S. Securities and Exchange Commission (the SEC) proposed new rules and amendments to existing rules (together, the Proposed Rules) addressing cybersecurity risk…

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Annual Eversheds Sutherland Analysis of FINRA Disciplinary Actions Shows Huge Surge in Financial Sanctions

All information Quoted from the article https://us.eversheds-sutherland.com/NewsCommentary/Press-Releases/249220/Annual-Eversheds-Sutherland-Analysis-of-FINRA-Disciplinary-Actions-Shows-Huge-Surge-in-Financial-Sanctions?utm_source=vuture&utm_medium=email&utm_campaign=vuture-emails March 8, 2022 Eversheds Sutherland has completed its annual study of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2021. By reviewing FINRA’s monthly disciplinary reports, press releases and online database,…

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SEC Proposed Cybersecurity Rules First Quarter 2022

https://www.sec.gov/rules/proposed.shtml (Quoted from this link) Key Rules in discussion by SEC Cybersecurity Risk Management, Strategy, Governance, and Incident DisclosureCybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies First Quarter33-11038Mar. 9, 2022Cybersecurity Risk Management, Strategy, Governance, and…

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2022 Report on FINRA’s Examination and Risk Monitoring Program

FINRA issued this risk alert on Feb 9th 2022. All information here is Quoted from the FINRA's document. Please refer to FINRA's document in the below link for complete information https://www.finra.org/rules-guidance/guidance/reports/2022-finras-examination-and-risk-monitoring-program The 2022 Report on FINRA’s Examination and Risk Monitoring…

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Office of Comptroller of the Currency OCC Semi-Annual Risk Perspective from the from the National Risk Committee

Key Highlights from the OCC's Risk Alert on Dec 12th 2021 https://www.occ.gov/publications-and-resources/publications/semiannual-risk-perspective/files/pub-semiannual-risk-perspective-fall-2021.pdf All information quoted here is from the OCC Risk Alert The Office of the Comptroller of the Currency (OCC) charters, regulates, and supervisesnational banks and federal savings associations…

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Notes from SEC Risk Alert Oct 26th 2021

https://www.sec.gov/files/exams-registered-investment-company-risk-alert.pdf SEC Risk Alert  of October 26, 2021 Observations from Examinations in the Registered Investment Company Initiatives* All notes below are quoted from the SEC Risk Alert The Division of Examinations (the “Division”) conducted a series of examinations that focused…

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Laxmi Ramanath CEO of La Meer Inc. chosen for ThinkAdvisor’s Executive Leadership Luminaries Award

We are thrilled to recognize IncomeConductor, La Meer Inc. and NaviPlan by InvestCloud, Inc. as members of ThinkAdvisor’s Class of 2021 #TALUMINARIES awards program in the Executive Leadership category. Congrats! Read the full list of winners » https://lnkd.in/eRrchs_r https://www.linkedin.com/posts/thinkadvisor_taluminaries-activity-6862023143851196416--4U9

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