DFI’s Division of Securities Travelling Across State to Provide Outreach on Amended Investment Adviser Rules

DFI’s Division of Securities will host a number of outreach events to publicize and answer questions concerning recently adopted amendments to the investment adviser rules at Chapter 460-24A WAC.

The amendments update various provisions of the investment adviser rules, including the rules regarding examination requirements, advertisements, custody, advisory contracts, performance compensation, and books and records.

In addition, the amendments add a requirement for advisers to maintain cybersecurity policies and procedures and a code of ethics. The Rule-Making Order, text of the Adopted Rules, a lengthier summary of the amendments, and other rulemaking documents are available on our rulemaking webpage.

Staff will provide an overview of the amendments and entertain questions at the following scheduled events:

Date Time Location
October 16, 2019 10 a.m. – 12 p.m. Department of Social and Health Services
Spokane Valley, Washington
November 12, 2019 10 a.m. – 12 p.m. Highline College
Des Moines, Washington
December 3, 2019 10 a.m. – 12 p.m. Clark College
Vancouver, Washington
March 10, 2019 10 a.m. – 12 p.m. Whatcom Community College
Bellingham, Washington
April 21, 2020 10 a.m. – 12 p.m. Central Washington University
Ellensburg, Washington
May 19, 2020 10 a.m. – 12 p.m. Columbia Basin College
Pasco, Washington
June 2, 2020 10 a.m. – 12 p.m. Capital Events Center
Tumwater, Washington

The Securities Division plans to schedule additional events in Bremerton, Bellevue, and Seattle. If you would like to attend any of these events, please contact Jamie Barnwell at 360-902-8815 or james.barnwell@dfi.wa.gov.