United States of America: Safeguarding Advisory Client Assets Rule including Increased protection of crypto investments
Progress
Scope
Timeline of events
Closed consultation on SEC proposed rulemaking on Safeguarding Advisory Client Assets in connection with the private fund adviser audit rule
On 30 October 2023, the US Securities and Exchange Commission (SEC) closed the consultation for the proposed rule on Safeguarding Advisory Client Assets. The SEC re-opened the consultation due to the adoption of a new rule to protect investors that …
SourceRe-opened consultation on SEC proposed rulemaking on Safeguarding Advisory Client Assets in connection with the private fund adviser audit rule
On 3 September 2023, the US Securities and Exchange Commission (SEC) re-opened the consultation for the proposed rule on Safeguarding Advisory Client Assets until 30 October 2023. The SEC re-opened the consultation due to the adoption of a new rule …
SourceClosed consultation on SEC proposed rulemaking on Safeguarding Advisory Client Assets
On 8 May 2023, the public consultation closed on the Securities and Exchange Commission's (SEC) proposed rulemaking on Safeguarding Advisory Client Assets. The stated goal of the proposed rules, according to the SEC, is the increased protection of …
SourceOpened consultation on SEC proposed rulemaking on Safeguarding Advisory Client Assets
On 9 March 2023, the public consultation opened on the Securities and Exchange Commission (SEC) proposed rulemaking on Safeguarding Advisory Client Assets until 8 May 2023. The stated goal of the proposed rules, according to the SEC, is the increase…
SourceIssued SEC notice of proposed rulemaking on Safeguarding Advisory Client Assets
On 15 February 2023, the Securities and Exchange Commission (SEC) published its proposal on new safeguarding rules for cryptocurrencies and other investments. Along with the publication of the proposal, a consultation period will be opened that will…
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