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US Asset Management Regulatory Year in Review 2023

It is a dramatic understatement to describe 2023 as a busy year in the United States for asset management regulation. With 24 rules adopted and 18…

United statesNoord hollandRepublic ofNew yorkGary genslerSam bankmanExchange commissionNet zero asset managers initiativeFinancial industry regulatory authorityInvestment management americas incExchange act ruleGab communicationsBank secrecyInvestment companyOffice of foreign assetsDivision of examinations

Update: FCC Adopts Digital Discrimination Rules In Party-Line Vote - Telecoms, Mobile & Cable Communications

The Federal Communications Commission (FCC or the Commission) adopted rules aimed at preventing digital discrimination of access at its Open Meeting on November 15, 2023.

United statesJessica rosenworcelAnna gomezBob lattaBrendan carrGeoffrey starksHouse communications subcommitteeOffice of civil rightsNational telecommunicationsCommunications commissionWireline competition bureauService fundTask force to prevent digital discriminationDemocratic commissionersRepublican commissionersFederal communications commission

COMPLY S 2023 ULTIMATE GUIDE TO CYBERSECURITY COMPLIANCE OUTLINES PRINCIPLES OF A STRONG CYBER PROGRAM IN A DYNAMIC REGULATORY AND RISK ENVIRONMENT

/PRNewswire/ COMPLY, the global market leader in regulatory compliance software, consulting and education resources for the financial services sector, today.

United statesJohn gebauerHelen johnsonTechnology officerGuide provides compliance professionalsComprehensive overviewEmerging cyber threatsAdopted rulesUltimate guideCybersecurity complianceCybersecurity awareness monthChief compliance officers

SEC Adopts Amendments to the Investment Company Names Rule (Rule 35d-1) | Sullivan & Worcester

On September 20, 2023, the Securities and Exchange Commission (“SEC”) adopted amendments to Rule 35d-1[1] (the “Names Rule”) under the Investment Company Act of 1940, as amended (“1940.

United statesGrowth fundInvestment companyExchange commissionInvestment company namesCorporate bond fundInvestment company actUnder sectionAdopting releaseAdopted rulesClient alertPercent policyPercent policy requirementNames suggestingRegarding derivativesAssessing compliance

COMPLY S 2023 ULTIMATE GUIDE TO CYBERSECURITY COMPLIANCE OUTLINES PRINCIPLES OF A STRONG CYBER PROGRAM IN A DYNAMIC REGULATORY AND RISK ENVIRONMENT

COMPLY S 2023 ULTIMATE GUIDE TO CYBERSECURITY COMPLIANCE OUTLINES PRINCIPLES OF A STRONG CYBER PROGRAM IN A DYNAMIC REGULATORY AND RISK ENVIRONMENT
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United statesHelen johnsonJohn gebauerTechnology officerGuide provides compliance professionalsComprehensive overviewEmerging cyber threatsAdopted rulesUltimate guideCybersecurity complianceCybersecurity awareness monthChief compliance officers