What Advisers Need to Know Now About Giving Rollover Advice after September 23, 2024
Advisers have new obligations under ERISA’s Retirement Security Rule when dealing with retirement plan assets. PTE 2020-02’s disclosure requirements for PTE 2020-02 are also changing to conform to Regulation Best Interest.
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!
SEC Tells Advisers What Not to Do in Advertisements
The SEC’s Risk Alert provides a list of Marketing Rule deficiencies — a must read!
Write the Best Annual Compliance Review Ever!
Struggling with your annual review? Check out our top tips!
Top Tips for Updating Your 2024 Compliance Program
Use our cheat sheet for updating your compliance program for 2024!
Capture if you Can: SEC3’s New Director of Thought Leadership Participates in Global Relay Free Webinar on E-Comms Liability
Check out this webinar where we discuss the latest developments on e-communications compliance policies.
SEC Announces Five More Settlements from Marketing Rule Sweep
SEC slams firms for using hypothetical performance on websites. See our analysis.
Top Ten Reasons to Hire an RIA Compliance Consulting Firm
Securities regulations are complicated, and failure to comply can be costly. Here are the top reasons to hire an RIA Compliance Firm
Compliance Roundup for April 5, 2024
For our clients and compliance colleagues, this weekly update will give you a quick look at the latest regulatory developments. Enjoy! Spring and T+1 are
2024 Predictions
SEC exam priorities 2024: Get insights and predictions on how these priorities will impact investment advisers and firms.
Happy New Year!
We would like to wish everyone a happy New Year! We hope that everyone had a wonderful holiday season and is well rested. Certainly, lawyers
Navigating 2024 SEC Exam Priorities: Insights from Compliance Experts Webinar Presented by Orion
Join our expert-led 2024 SEC exam priorities webinar to gain valuable insights and strategies to navigate the SEC’s examination priorities
