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SEC Proposes Custody Rule Overhaul With Broad Implications for Investment Advisers, Custodians, and Independent Public Accounting Firms | K&L Gates LLP

On 15 February 2023, the Securities and Exchange Commission (SEC) announced a proposed overhaul of the custody framework for SEC-registered investment advisers (investment advisers)....
United States Discretionary Authority Signature Bank Kl Gates Discretionary Authority Of Client Public Company Accounting Oversight Board

SEC Sanctions Broker Dealers for Identity Theft Problems

SEC required to adopt Regulation S-ID by a provision in 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act, amended provision of Fair Credit Reporting Act of 1970 FCRA to add SEC and Commodity Futures Trading Commission to federal agencies must have red flag rules
New York United States Puerto Rico New Jersey Identity Theft Protection Program Office Of Compliance Inspections

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