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.
As we close out 2025, we reflect on the regulatory developments, compliance challenges, and operational lessons that shaped the year for investment advisers.
The SEC’s 2026 Examination Priorities demand attention from investment advisers and broker-dealers.
The SEC has brought enforcement actions against six entities that claimed to operate as investment advisers.
The SEC’s Spring 2025 regulatory agenda outlines priorities across crypto oversight, disclosure simplification, private market access, and rule revisions.
The SEC’s latest enforcement actions highlight the risks of compensation-driven conflicts and inconsistent disclosures.
The Financial Crimes Enforcement Network (FinCEN) has postponed its AML rule for investment advisers until 2028 and may revise key elements.