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.
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 2026 Examination Priorities demand attention from investment advisers and broker-dealers.
The SEC’s latest enforcement actions highlight the risks of compensation-driven conflicts and inconsistent disclosures.
Stay informed with our February–March 2025 Regulatory Roundup, featuring practical insights on key SEC developments, including updates to the Marketing Rule, crypto regulation, and Rule 506(c) under Regulation D.
Being a Chief Compliance Officer is an important job but before you accept the offer, there a few things you should know. Enjoy!