ICS Insights
Ya sea que sea un propietario de negocio, un profesional de cumplimiento o simplemente esté interesado en el tema, tenemos algo para usted.¡Bienvenido a ICS Insights! Aquí, compartimos publicaciones, noticias y liderazgo intelectual sobre todo lo relacionado con el cumplimiento internacional.
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”) …
New Federal Reporting Requirement for Beneficial Ownership Information (BOI)
In 2021, Congress enacted the Corporate Transparency Act. This law creates a beneficial ownership information reporting requirement as part of the U.S. government’s …
Overview of New Private Fund Rules’ Scope and Compliance Dates
The SEC recently adopted new rules (the “Private Fund Rules”)[1] that will require additional reporting requirements and impose restrictions on certain activities of …
SEC Marketing Rule Enforcement: charges against nine registered investment advisers over hypothetical performance advertising
On September 11, 2023, the U.S. Securities and Exchange Commission (SEC) announced settled charges against nine registered investment advisers …
SEC Risk Alert to Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents
On Sept. 6, 2023, the Securities and Exchange Commission’s Division of Examinations issued a Risk Alert detailing the Division’s examination selection process for …