The SEC continued its recent onslaught of proposed cybersecurity rules in mid-March with three new proposals covering a litany of entities, including investment advisers, broker-dealers, investment companies, clearing...more
3/23/2023
/ Broker-Dealer ,
Compliance ,
Covered Entities ,
Customer Privacy ,
Cybersecurity ,
Incident Response Plans ,
Investment Adviser ,
Investment Companies ,
Personal Data ,
Policies and Procedures ,
Proposed Amendments ,
Recordkeeping Requirements ,
Regulation S-P ,
Safeguards Rule ,
Securities and Exchange Commission (SEC) ,
Sensitive Personal Information ,
Third-Party ,
Third-Party Service Provider
The SEC on Feb. 15, 2023, announced new proposed obligations for registered investment advisers concerning custody of investor assets. Although the rule is only in proposed form, given the current composition of the SEC, the...more