- The SEC's proposed rule for registered investment advisers (RIAs) mandates the creation of effective recovery plans. Two elements are often overlooked.
- The SEC is asking that broker-dealers self-report any historical or ongoing instances of noncompliance by November 1, 2016.
- The SEC’s proposed new rule, Rule 206(4)-4, would require SEC-registered investment advisers to adopt and implement written business continuity and transition plans.
- The SEC proposed regulation of investment adviser business continuity and transition plans contains a significant number of de facto requirements in the footnotes.
- 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
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