Regulation S-P Compliance Deadlines Have Passed. Are You Ready for an SEC Examination?
Regulation S-P compliance deadlines have passed. Is your firm ready for an SEC examination? Learn the critical gaps you need to fix now.
SEC Raises Qualified Client Thresholds for Performance Fees Effective June 2026
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.
SEC and CFTC Propose Major Form PF Relief for Private Fund Advisers
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.
Coordinated $80 Million AML Enforcement Action Highlights Breakdown Between Policy and Practice
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.
Advisor Pleads Guilty in $160M Fraud as SEC Brings Parallel Enforcement Action
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 Speaks 2026: Focus on Materiality and Investor Harm
At the 2026 SEC Speaks conference, leadership outlined a shift toward traditional financial materiality and introduced the ACT framework to streamline regulation.
SEC Enforcement Highlights Valuation Risks in Affiliated Loan Transactions
The SEC recently penalized a private credit adviser for failing to reassess the fair value of loans transferred from an affiliate during market disruptions.
Are you ready for a REG SP exam? It’s coming.
The SEC’s amended Regulation S-P compliance requirements introduce new incident response, customer notification, and vendor oversight obligations.
SEC Enforcement Signals Heightened Scrutiny of Advisory Agreements and Compliance Practices
The SEC’s 2026 enforcement action against FamilyWealth Advisers serves as a critical reminder for investment advisers.
SEC Proposal Could Reframe How Regulatory Burden Is Evaluated for Most RIAs
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.
SEC3 Year End Take-Aways
As we close out 2025, we reflect on the regulatory developments, compliance challenges, and operational lessons that shaped the year for investment advisers.
SEC 2026 Exam Priorities – What Advisers & Broker-Dealers Must Know
The SEC’s 2026 Examination Priorities demand attention from investment advisers and broker-dealers.