Regulatory Roundup for January 2025
January 31, 2025
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Welcome to our January 2025 Regulatory Roundup, where we provide practical advice on the latest regulatory headlines.
Welcome to our January 2025 Regulatory Roundup, where we provide practical advice on the latest regulatory headlines.
As we look back on the SEC’s actions in 2024, we wanted to share our thoughts on lessons learned that we believe will carry through to 2025.
Stay informed with our December 2024 Regulatory Roundup, covering key SEC enforcement trends, leadership transitions, and crucial compliance lessons for investment advisers.
Discover the key updates your compliance program needs in 2025 to stay ahead of SEC scrutiny and protect your firm from costly missteps.
Advisers Drafted by FinCEN for AML Duty, More Fines for E-Comm Retention Failures and a September Miracle, SEC Falls Back on Broken Windows Strategy, and a Refusal to Give Up on Private Fund Rules.
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