Aug 24, 2022 | Insights
On February 9, 2022, the Securities and Exchange Commission voted 3–1 in proposing new cybersecurity rules for the investment industry. The new Proposed Rules come on the tail end of a growing anxiety from increasing cybersecurity threats on a national and global...
Aug 24, 2022 | Insights
Aspect Advisors and C-F&M 2022 IA/BD Compliance Update We wanted to take this opportunity to thank everyone who attended and participated in our 2022 compliance update hosted by Justin Schleifer, Co-Founder, President (Aspect Advisors), and Bart Mallon,...
Aug 24, 2022 | Insights
The SEC has turned its attention to more carefully regulating advisers to private funds, as made clear by new rule proposals released last week. While the proposals are currently in the comment period, it seems likely that most, if not all, of the provisions of the...
Aug 24, 2022 | Insights
BlockFi agreed to pay a $50 million penalty to the Securities and Exchange Commission (SEC) and an additional $50 million in fines to 32 states to settle similar charges. The fine is related to BlockFi Interest Accounts (BIAs) that lets clients accrue interest on...
