Last week, RIA Compliance Consultants hosted a webinar entitled “How to Report Elder Abuse to Adult Protective Services” in which a state securities regulator and an official from a state’s adult protective services agency discussed how an investment adviser firm can more effectively report elder abuse and better protect its senior and vulnerable clients.
The Securities Bureau of the Nebraska Department of Banking and Finance has released its 2020 list of requirements for a state-registered investment adviser (IA) and an investment advisor representative (IAR) to renew their registration in the State of Nebraska.
The Securities Bureau of the Nebraska Department of Banking and Finance has proposed a new rule which would require investment advisers to develop and maintain physical and cybersecurity policies and procedures designed to protect client records and information.
January 22, 2019
On December 3, 2018 the Nebraska Department of Banking and Finance (NDBF) released their 2018 Cybersecurity Survey of Nebraska-Registered Investment Advisers. NDBF surveyed fifty-seven Nebraska registered investment advisers. The survey focused on devices used in advisory activities, Wi-Fi access points, passwords, encryption policies, and anti-virus/anti-malware services. The full report can be viewed here.