The Australian Securities and Investments Commission’s latest actions and news, July 13-17, 2026.
Investment adviser
After decades of trying to make the shift, Regulation E-Delivery aims to end the opt-in requirement for receiving electronic investor information.
Moscony lists questions every adviser should be able to answer today.
Identified problems included nondisclosure of advisers’ financial incentives and clients being charged for services they did not receive.
SEC3 is monitoring the SEC’s recent inflation adjustment to the “qualified client” thresholds under Advisers Act Rule 205-3, which affects advisers that charge performance-based fees.
Firms, however, must maintain strict adherence to existing requirements until these changes are officially adopted.
The Australian Securities and Investments Commission’s latest actions and news, May 5-15, 2026.
US State Regulation
Premium
NASAA revises model advertising rules for state-registered investment advisers
Amendments show convergence between state and federal approaches, while preserving state-level oversight intended to mitigate retail investor harm.