Carl Ayers
'The task force will also analyze disclosure and compliance issues relating to investment advisers’ and funds’ ESG strategies'
It's been a chore to lure accountants in throughout this year of the pandemic.
The GLBA shield offers advisors that fall under the CCPA no protection regarding data breaches, though. Penalties can sting.
The OCIE request raises the specter of a long stretch of working from home.
'If you’re subject to the law, it doesn’t really matter if you’re in or outside of California.'
If 'done incorrectly,' a compliance consultant’s work can inadvertently chart a detailed course for SEC enforcement staff to air a firm’s 'dirty laundry.'
OCIE hopes these observations will spur organizations 'to reflect on their own cybersecurity practices.'
The agency's new report provides 'hallmarks' of effective compliance programs detected by the agency over the years.
'I think it’s going to be a big year for advisor regulations.'
Nearly 50 rules are being considered by the Securities and Exchange Commission.
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