Think Before You “Fix” It: CCO Missteps That Led to Personal Fines and Bars
Recent SEC enforcement actions against two Chief Compliance Officers (CCOs) serve as a stark reminder that CCOs can be held personally liable for misleading regulators during an examination.
SEC Phishing—What’s happening — Who’s being targeted
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.
New FinCEN AML Rule Brings Investment Advisers Under Bank-Like Scrutiny
In a major regulatory shift, FinCEN has finalized its AML rule for investment advisers, aligning them with bank-level compliance under the Bank Secrecy Act.
The SEC Walks Back 14 proposals – But Stay Alert
SEC withdraws 14 major rule proposals, signaling a regulatory shift—but firms shouldn’t assume reduced oversight.
SEC Chair Paul Atkins Sets Pro-Innovation Tone in First Public Remarks
SEC Chair Paul Atkins outlines a pro-innovation agenda, highlighting market access, fintech integration, and clearer crypto regulation.
Top Compliance Program Mistakes (and How to Avoid Them) (Part 3 of a three-part series)
By addressing the common pitfalls discussed in this article, firms can strengthen their compliance infrastructure and better demonstrate their commitment to regulatory responsibility.
Top Compliance Program Mistakes (and How to Avoid Them) (Part 2 of a three-part series)
Advisers often spend significant time drafting compliance manuals, but are these policies truly effective in daily operations and risk mitigation?
Top Compliance Program Mistakes (and How to Avoid Them) (Part 1 of a three-part series)
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.
A New Era for Co-Investments?
The SEC just proposed major updates that could make life easier for BDCs, closed-end funds, and their advisers when it comes to co-investing.
Regulatory Roundup for February and March 2025
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.
7 Ugly Truths About Compliance: a Primer for New Chief Compliance Officers
Being a Chief Compliance Officer is an important job but before you accept the offer, there a few things you should know. Enjoy!
Predictions for 2025: What Private Fund Advisers Can Expect from SEC Examinations
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.