Regulators are moving beyond “paper” compliance. A recent coordinated $80 million settlement highlights the critical breakdown between maintaining AML policies and executing them in high-risk trading environments. Discover the key takeaways for firms in 2026.
A recent $160M enforcement action highlights a recurring theme: advisors marketing high-risk, concentrated investments as “safe” while failing to disclose personal financial interests. Discover why the SEC is prioritizing private fund structures and conflict disclosures in 2026.
At the 2026 SEC Speaks conference, leadership outlined a shift toward traditional financial materiality and introduced the ACT framework to streamline regulation.
The SEC recently penalized a private credit adviser for failing to reassess the fair value of loans transferred from an affiliate during market disruptions.
The SEC’s amended Regulation S-P compliance requirements introduce new incident response, customer notification, and vendor oversight obligations.
The SEC’s 2026 enforcement action against FamilyWealth Advisers serves as a critical reminder for investment advisers.
The SEC has proposed a major shift in how it defines “small” investment advisers, potentially raising the asset threshold from $25 million to $1 billion.
The SEC’s Spring 2025 regulatory agenda outlines priorities across crypto oversight, disclosure simplification, private market access, and rule revisions.
The Financial Crimes Enforcement Network (FinCEN) has postponed its AML rule for investment advisers until 2028 and may revise key elements.
Securities regulations are complicated, and failure to comply can be costly. Here are the top reasons to hire an RIA Compliance Firm