ICS Insights
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Finra Proposes Fee Increases Starting in 2025
In addition to a previously reported SEC sweep looking into how firms use AI-based tools, it’s the latest indication of an ever-increasing …
With $1.5 Trillion in AUM, RIA Consolidators Are Reshaping the Industry: Cerulli
In addition to a previously reported SEC sweep looking into how firms use AI-based tools, it’s the latest indication of an ever-increasing …
AI Usage Top Priority for SEC Examiners in 2025
In addition to a previously reported SEC sweep looking into how firms use AI-based tools, it’s the latest indication of an ever-increasing …
FinCEN Issues Final Rule Requiring Investment Advisers to Establish Anti-Money Laundering Programs
On August 28, 2024, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) issued a final rule …
SEC Adopts Updated Cybersecurity Rules
On the same day the 24-year-old updates to Regulation S-P were announced, Interactive Brokers reported a customer data breach.
How Advisors Are Preparing for New Private Funds Reporting Rules
The SEC’s new quarterly reporting rules could help make private funds far more accessible to retail investors. But they are a huge task to implement.
FTC Issues Worker Non-Compete Ban as Chamber Lawsuit Looms
The US Federal Trade Commission voted Tuesday to adopt a near-total ban on non-compete provisions that prohibit workers from switching jobs within an industry, a rule the Chamber of Commerce vowed to immediately challenge in court.
SEC Modernizes Internet Adviser Rule
On March 27, 2024, the Securities and Exchange Commission (“SEC”) adopted amendments to the rule allowing internet-based investment advisers to register with the SEC instead of with states…
Risk Alert: Shortening the Securities Transaction Settlement Cycle
Today the Division of Examinations published a Risk Alert regarding the shortening of the securities transaction settlement cycle. On May 28, 2024, the standard …
SEC and CFTC Adopt Substantial Amendments to Form PF
The Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC,” and
together with the SEC, the “Commissions”) …