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.
Discover the key updates your compliance program needs in 2025 to stay ahead of SEC scrutiny and protect your firm from costly missteps.
Thanks to the SEC for No New Rules, Unsurprising 2025 Exam Priorities and Lessons on Greenwashing, Valuation Shortcuts and Registration Requirements for Affiliates.
Most compliance officers struggle to determine whether they are conducting enough testing to satisfy their obligations under the Advisers Act. In its release adopting Advisers
Many private fund managers are breathing a sigh of relief after the Fifth Circuit struck down the Private Fund Rules (check out our blog post
Check out our regulatory update for May 2024, including Amendments to Regulation S-P, Proposed CIP requirements, the latest SEC Risk Alert on Marketing Rule, and more!
The SEC’s Risk Alert provides a list of Marketing Rule deficiencies — a must read!
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