by admin | Nov 15, 2024 | ICS Insights
ICS Insights Finra Proposes Fee Increases Starting in 2025 ; Finra Proposes Fee Increases Starting in 2025The Financial Industry Regulatory Authority is seeking to raise member fees to help keep pace with the rapidly increasing cost of overseeing the brokerage...
by admin | Nov 15, 2024 | ICS Insights
ICS Insights With $1.5 Trillion in AUM, RIA Consolidators Are Reshaping the Industry: Cerulli ; With $1.5 Trillion in AUM, RIA Consolidators Are Reshaping the Industry: CerulliConsolidators of registered investment advisory firms are reshaping a once fragmented...
by admin | Oct 26, 2024 | ICS Insights
ICS Insights AI Usage Top Priority for SEC Examiners in 2025 ; AI Usage Top Priority for SEC Examiners in 2025Reg BI compliance and the use of crypto assets are other areas of focus for the upcoming year.Examiners at the Securities and Exchange Commission are...
by admin | Sep 24, 2024 | ICS Insights
ICS Insights FinCEN Issues Final Rule Requiring Investment Advisers to Establish Anti-Money Laundering Programs ; FinCEN Issues Final Rule Requiring Investment Advisers to Establish Anti-Money Laundering ProgramsOn August 28, 2024, the US Department of the Treasury’s...
by admin | Jun 5, 2024 | ICS Insights
ICS Insights SEC Adopts Updated Cybersecurity Rules ; SEC Adopts Updated Cybersecurity RulesOn the same day the 24-year-old updates to Regulation S-P were announced, Interactive Brokers reported a customer data breach.Rob Burgess | May 24, 2024As coincidence would...
