Last Action | 04/08/22: signed by Governor (Acts Ch. 145) |
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Title | AN ACT relating to persons regulated under the Securities Act of Kentucky. |
Bill Documents |
Acts Chapter 145
Current/Final Introduced |
Bill Request Number | 1991 |
Sponsor | J. Carpenter |
Summary of Original Version | Amend KRS 292.336 to require investment advisers to establish written procedures relating to a business continuity and succession plan; require investment advisers to establish and implement written physical security and cybersecurity policies and procedures; create a new section of KRS Chapter 292 to establish continuing education requirements for investment adviser representatives; EFFECTIVE January 1, 2023. |
Index Headings of Original Version |
Effective Dates, Delayed - Securities, regulated persons, requirements, January 1, 2023 Licensing - Securities, regulated persons, requirements Securities - Investment adviser representatives, continuing education Securities - Investment advisers, business continuity planning Securities - Investment advisers, physical security and cybersecurity policies Administrative Regulations and Proceedings - Department of Financial Institutions, investment adviser representatives, continuing education Public Protection - Securities, investment adviser representatives, continuing education Public Protection - Securities, investment advisers, policies and procedures |
Votes | Vote History |
03/02/22 |
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03/03/22 |
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03/15/22 |
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03/16/22 |
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03/17/22 |
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03/18/22 |
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03/22/22 |
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03/23/22 |
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03/24/22 |
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03/29/22 |
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03/30/22 |
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04/08/22 |
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Last updated: 2/8/2023 2:57 PM (EST)