The SEC’s Marketing Rule case against Meridian shows why advisers must verify claims and maintain strong compliance controls.
The SEC charged a private equity adviser for breaching its fiduciary duties due to improper fee and expense practices.
The Financial Crimes Enforcement Network (FinCEN) has postponed its AML rule for investment advisers until 2028 and may revise key elements.
Recent SEC enforcement actions against two Chief Compliance Officers (CCOs) serve as a stark reminder that CCOs can be held personally liable for misleading regulators during an examination.
Securities regulations are complicated, and failure to comply can be costly. Here are the top reasons to hire an RIA Compliance Firm
Mutual Fund Administrators SEC Compliance Consultants, Inc. can partner with Administrators to provide expert compliance solutions to fund clients, advisers, and sub-advisers. This allows Administrators
Broker / Dealers SEC Compliance Consultants, Inc. offers an extensive suite of customizable compliance consulting and training services for FINRA and SEC regulated Broker-Dealers, on
Investment Companies Among the challenges facing funds is the ability to maximize the compliance capabilities of limited resources while minimizing the impact to shareholders. SEC3
Private Fund Adviser Registration and Compliance With private fund adviser registration now a necessity, compliance for hedge funds and private equity funds tops the list
Private Fund Registration with SEC Our services range from assistance with SEC registration to varying degrees of outsourced compliance assistance. Depending on current staffing levels