News & Events


Regulatory Roundup for June 2024

Welcome to our June Regulatory Roundup, where we provide you with a quick look at the latest regulatory developments. In this edition, we discuss the implications of the Fifth Circuit’s striking down the Private Fund Rules, a survey on how much time advisers are spending on compliance with the Marketing Rule, a case study on how not to show fund performance and an SEC settlement where the obligations of Reg BI and fiduciary duty are blurred. Enjoy!

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What Advisers Need to Know Now About Giving Rollover Advice after September 23, 2024

The Retirement Security Rules expands ERISA’s stringent fiduciary obligations to cover almost any situation where advice is provided for a fee to a retirement investor where there is an expectation that the advice being given is in the investor’s best interest. The Final Rule covers advisory firms and their representatives providing “fiduciary investment advice” to ERISA and non-ERISA plans, including IRAs.

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Regulatory Roundup for May 2024

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!

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