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:
|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|
|March 10, 2019||10 a.m. – 12 p.m.||Whatcom Community College|
|April 21, 2020||10 a.m. – 12 p.m.||Central Washington University|
|May 19, 2020||10 a.m. – 12 p.m.||Columbia Basin College|
|June 2, 2020||10 a.m. – 12 p.m.||Capital Events Center|
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 firstname.lastname@example.org.