A new SEC Division of Examinations Risk Alert highlights widespread annual compliance review deficiencies under Rule 206(4)-7. Discover key findings, critical documentation requirements, and actionable steps for investment advisers.
The SEC’s 2026 Examination Priorities demand attention from investment advisers and broker-dealers.
The SEC’s Marketing Rule case against Meridian shows why advisers must verify claims and maintain strong compliance controls.
SEC withdraws 14 major rule proposals, signaling a regulatory shift—but firms shouldn’t assume reduced oversight.
SEC Chair Paul Atkins outlines a pro-innovation agenda, highlighting market access, fintech integration, and clearer crypto regulation.
By addressing the common pitfalls discussed in this article, firms can strengthen their compliance infrastructure and better demonstrate their commitment to regulatory responsibility.
Advisers often spend significant time drafting compliance manuals, but are these policies truly effective in daily operations and risk mitigation?
Discover the key updates your compliance program needs in 2025 to stay ahead of SEC scrutiny and protect your firm from costly missteps.
Struggling with your annual review? Check out our top tips!
Use our cheat sheet for updating your compliance program for 2024!