- The SEC's proposed rule for registered investment advisers (RIAs) mandates the creation of effective recovery plans. Two elements are often overlooked.
- The SEC proposed regulation of investment adviser business continuity and transition plans contains a significant number of de facto requirements in the footnotes.
- Before the SEC's proposed transition plans rule for investment advisors, the most significant requirement for living wills was contained in Dodd-Frank.
- While the European Union (EU) has now formally approved Privacy Shield, will it stand up to judicial and political scrutiny? Privacy Shield itself is a mix of requirements
- This morning, the Privacy Shield rule was approved by the European Union (EU) with a target implementation date of next week. Compliance may require a change in operations.
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