The Financial Crimes Enforcement Network (FinCEN) has postponed its AML rule for investment advisers until 2028 and may revise key elements.
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.
SEC withdraws 14 major rule proposals, signaling a regulatory shift—but firms shouldn’t assume reduced oversight.
SEC Chair Paul Atkins outlines a pro-innovation agenda, highlighting market access, fintech integration, and clearer crypto regulation.
By addressing the common pitfalls discussed in this article, firms can strengthen their compliance infrastructure and better demonstrate their commitment to regulatory responsibility.
Advisers often spend significant time drafting compliance manuals, but are these policies truly effective in daily operations and risk mitigation?
In this first post of our three-part series on common compliance program mistakes, we explore why many firms fall into the trap of the “neglected compliance manual” and how to transform it into a relevant, firm-specific, and engaging resource.
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.
Check out the latest trends we are seeing in SEC examinations for private fund managers, including a sharper focus on conflicts of interest, fee transparency, and compliance with evolving regulatory expectations.
Welcome to our January 2025 Regulatory Roundup, where we provide practical advice on the latest regulatory headlines.