by admin | Jul 24, 2025 | ICS Insights
ICS Insights Treasury Announces Postponement and Reopening of Investment Adviser Rule ; July 21, 2025WASHINGTON––In order to ensure efficient regulation that appropriately balances costs and benefits, the U.S. Department of the Treasury’s Financial Crimes Enforcement...
by admin | Jun 14, 2025 | ICS Insights
ICS Insights SEC resumes processing applications for Swiss investment advisers ; SEC resumes processing applications for Swiss investment advisersOn June 10, 2025, the U.S. Securities and Exchange Commission (SEC) announced that it will resume processing applications...
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...
