Each Friday, we are giving you our weekly report highlighting the top compliance news articles from various industry news publications. We have selected the most relevant and important news articles related to registered investment adviser (RIA) compliance and regulatory issues. This week's recap focuses on the growing number of RIAs the Securities and Exchange Commission (SEC) must examine, the new deadline financial advisers must meet to comply with the Department of Labor’s (DOL) fiduciary rule, the SEC’s new cybersecurity guidelines for investment advisers and broker-dealers, the growing interest among financial advisers to start their own RIA firms and a request by industry groups for an extension on the comment period for the proposed expansion of the Custody Rule.
Here are our top investment adviser compliance articles for the week of Mar. 3, 2023: