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SEC and FinCEN propose rule to require investment advisers to establish Customer Identification Programs (CIPs)
On May 13, 2024, the Securities and Exchange Commission (SEC) and the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) issued a joint notice of proposed rule-making (NPRM, proposed rule hereafter) that would require SEC-registered investment advisers (RIAs) and exempt reporting advisers (ERAs) to establish, document, and maintain written customer identification programs (CIPs).
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Investment management regulation: Navigating the present, and preparing for the future
Investment management firms should integrate a dynamic regulatory readiness posture in their organizations to help them respond more effectively to changing regulatory requirements.
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Meeting regulatory expectations for preserving and monitoring electronic communications
On February 9 and March 19, 2024, the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) respectively announced the latest round of charges and fines for failures to preserve and maintain electronic communications.
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Navigating regulatory waters in the age of AI
The financial industry is experiencing a significant paradigm shift marked by the growing integration of artificial intelligence (AI), predictive data analytics (PDA), and similar technologies in customer interactions. As these advanced tools become increasingly prevalent, concerns about their transparency and potential misuse have captured the attention of regulators and federal agencies.
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FinCEN proposes rule to require investment advisers comply with AML/CFT regulations
On February 13, 2024, the Financial Crimes Enforcement Network (FinCEN) released a notice of proposed rulemaking(NPRM) that would require certain investment advisers (IAs) to apply anti-money laundering and countering the financing of terrorism (AML/CFT) requirements pursuant to the Bank Secrecy Act (BSA)
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SEC enhances regulation of private fund advisers
On August 23, 2023, the Securities and Exchange Commission (SEC) adopted significant new rules for private fund advisers.
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Navigating the evolving regulatory landscape to establish a compliant ESG investment practice
Emerging challenges and opportunities for investment managers that offer ESG, impact, and sustainable investment strategies
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2023 investment management regulatory outlook
The investment management industry is facing a tidal wave of regulatory change, the impacts of which will be felt throughout firms and markets in 2023. In our outlook, we explore three key themes that organizations can consider to address changing compliance requirements.
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SEC Issues Cyber Rule Proposal for Advisers and Funds
The SEC’s proposed cybersecurity rules for investment advisers and funds aim to enhance cybersecurity preparedness and serve as an opportunity for firms that are lagging in their cyber practices to accelerate their pace of investment. Explore the evolution of SEC’s approach to cybersecurity, the proposed rules, and implications and next steps for firms in our report.
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SEC and FINRA publish 2022 exam priorities
The SEC and FINRA have released their 2022 exam priorities. The annual exam priorities are an opportunity for firms to anticipate areas of heightened scrutiny by the regulators in the coming exam cycle since the regulators use these lists to signal their focus areas. Firms should take this opportunity to gain clarity around regulatory expectations and tighten up their compliance processes.
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2022 Investment Management Regulatory Outlook
Foundational, evolving, and emerging topics are all compliance priorities for the investment management industry.
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2021 Investment Management Regulatory Outlook
The Deloitte Center for Regulatory Strategy have released a series of 2021 financial services regulatory outlooks to help financial services firms across the globe navigate the year ahead.
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