The Crypto Asset and Cyber Unit will increase to 50 positions; Commissioner Hester Peirce questioned why the commission was ‘leading with enforcement in crypto?’ The Securities and Exchange Commission will expand its Enforcement Division unit focused on crypto assets and cyber violations by 20 positions to 50 in total. SEC Chair Gary Gensler said the move was … Read more
The temperature is rising on the quality of cybersecurity risk for registered investment advisors, whether they are in the DOL space or not. In February, the U.S. Securities and Exchange Commission voted to propose two new rules on cybersecurity: rule 206(4)-9 under the Advisers Act and rule 38a-2 under the Investment Company Act. From a high-level perspective, … Read more
Most organizations that will be making strategic and critical business decisions, it is imperative to undertake an extensive due diligence investigation. Due Diligence is defined as, “the care a reasonable person exercises to avoid harm to other persons or their property.” Investigative Due Diligence refers to the research and analysis of an individual or organization done … Read more
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