The SEC has increased the qualified client thresholds under Rule 205-3 for inflation. Learn the new AUM and net worth limits taking effect June 29, 2026.
The SEC and CFTC proposed Form PF relief that could slash reporting burdens for private fund advisers. Learn about the new thresholds and compliance steps.
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.
SEC phishing scam targets small RIAs using fake emails from David Bottom. Learn how to spot red flags and protect your firm from pretexting attacks.
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