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SEC and FinCEN Propose Rules to Impose Customer Identification Program Obligations on Certain Investment Advisers | BCLP

SEC and FinCEN Propose Rules to Impose Customer Identification Program Obligations on Certain Investment Advisers | BCLP
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Leighton-paisner , Markt-uyeda , Mark-uyeda , Exchange-commission , Investment-adviser-association , Investment-advisers-association , Financial-crimes-enforcement-network , Verification-procedures , Identity-verification , Government-lists , Customer-notification , Identification-programs

SEC Asked to Extend Comment Period on Predictive Data

SEC Asked to Extend Comment Period on Predictive Data
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SEC Proposes Rule On Outsourcing By Investment Advisers - Securities

On October 26, 2022, the Securities and Exchange Commission ("SEC") proposed Rule 206(4)-11, a new rule ("Proposed Rule") under the Investment Advisers Act of 1940 ("Advisers Act") that . ....

Karen-barr , Gary-gensler , Exchange-commission , Service-provider , A-service-provider , Service-providers-in-form , Service-providers , Oversight-of-service-providers , Adviser-association , Advisers-act , Proposed-rule , Chair-gary-gensler

'I've lived and breathed this stuff': Levy hits back at QAR appointment criticism

Ms Levy appeared on this week s ifa Show podcast. Michelle Levy has hit back at criticism of her appointment as reviewer of the Quality of Advice Review (QAR) during an appearance on the ifa Show podc ....

Neil-griffiths , Adviser-association , Association-of-financial-advisers , Michelle-levy , Advice-review , Financial-advisers , Deputy-editor , Lived , Breathed , Stuff , Levy , Its

TAA confirms merger

The Adviser Association has confirmed a merger. The Authorised Representatives Association (ARA) will merge with the Adviser Association (TAA), after its members voted to close the 40-year-old associ ....

Australia , Canberra , Australian-capital-territory , Maja-garaca-djurdjevic , Phil-anderson , Neil-macdonald , Representatives-association , Financial-planning-association-of-australia , Adviser-association , Association-of-financial-advisers , Authorised-representatives-association , Financial-planning-association