by admin | Jul 29, 2026 | ICS Insights
ICS Insights FINRA Tightens Identity Verification Controls ; SEC and FINRA have recently announced several regulatory and procedural enhancements designed to improve transparency, strengthen cybersecurity, and enhance the integrity of the regulatory process.One of the...
by admin | Jan 31, 2026 | ICS Insights
ICS Insights SEC Proposes Amendments to the Small Entity Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act ; Washington D.C., Jan. 7, 2026 —The Securities and Exchange Commission today proposed amendments to...
by admin | Jan 27, 2026 | ICS Insights
ICS Insights FINRA Proposes Changes to Hybrid RIA Oversight ; Proposed Rule 3290 would reclassify RIA activity as an outside activity, reducing broker-dealer supervision and recordkeeping obligations for hybrid models.FINRA may be redefining how hybrid RIAs are...
by admin | Sep 25, 2025 | ICS Insights
ICS Insights FinCEN Formally Proposes Two-Year Delay of Investment Adviser AML Rule ; What This Means for Advisers:FinCEN has formally proposed to delay the effective date of the investment adviser AML rule from January 1, 2026, to January 1, 2028.The amendment itself...
by admin | Aug 14, 2025 | ICS Insights
ICS Insights How the OBBBA is Transforming U.S. Tax Planning—and Why You Need Expert Help ; The One Big Beautiful Bill Act (OBBBA) is now law, ushering in one of the most consequential overhauls of the U.S. tax system in recent memory. Its scope is sweeping—locking in...
by admin | Aug 1, 2025 | ICS Insights
ICS Insights Treasury Sanctions Venezuelan Cartel Headed by Maduro ; July 25, 2025WASHINGTON — Today, the Department of the Treasury’s Office of Foreign Assets Control (OFAC) sanctioned the Cartel de los Soles (a.k.a. Cartel of the Suns) as a Specially Designated...
