por 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...
por 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...
por 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...
por 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...
por 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...
