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...
by admin | Apr 26, 2024 | ICS Insights
ICS Insights How Advisors Are Preparing for New Private Funds Reporting Rules ; How Advisors Are Preparing for New Private Funds Reporting RulesThe SEC’s new quarterly reporting rules could help make private funds far more accessible to retail investors. But they are...
by admin | Apr 26, 2024 | ICS Insights
ICS Insights FTC Issues Worker Non-Compete Ban as Chamber Lawsuit Looms ; FTC Issues Worker Non-Compete Ban as Chamber Lawsuit Loomsby Bloomberg News. April 23, 2024The US Federal Trade Commission voted Tuesday to adopt a near-total ban on non-compete provisions that...
by admin | Apr 18, 2024 | ICS Insights
ICS Insights SEC Modernizes Internet Adviser Rule ; SEC Modernizes Internet Adviser RuleOn March 27, 2024, the Securities and Exchange Commission (“SEC”) adopted amendments to the rule allowing internet-based investment advisers to register with the SEC...
by admin | Apr 5, 2024 | ICS Insights
ICS Insights Risk Alert: Shortening the Securities Transaction Settlement Cycle ; Risk Alert: Shortening the Securities Transaction Settlement Cycle Today the Division of Examinations published a Risk Alert regarding the shortening of the securities transaction...
by admin | Mar 18, 2024 | ICS Insights
ICS Insights The Amendments significantly increase the amount of information required to be included on Form PF ; SEC and CFTC Adopt Substantial Amendments to Form PF March 7, 2024 AUTHORSGabriel Acri | Benjamin B. Allensworth | Anne C. Choe | John F. Rupp The...
