On August 28, 2024, Financial Crimes Enforcement Network (FinCEN) issued a final rule (the “Final Rule”) that imposes comprehensive anti-money laundering and countering the financing of terrorism (“AML/CFT”) requirements on...more
7/9/2025
/ AML/CFT ,
Anti-Money Laundering ,
Compliance Dates ,
Customer Due Diligence (CDD) ,
Final Rules ,
FinCEN ,
Investment Adviser ,
Investment Management ,
Know Your Customers ,
Policies and Procedures ,
Registered Investment Advisors ,
Regulatory Requirements ,
Reporting Requirements ,
Risk Management
On June 12, 2025, the SEC formally withdrew 14 rule proposals, all but one of which were introduced during Gary Gensler’s tenure as SEC Chair. The SEC did not provide a reason for the withdrawals but stated that if it decides...more
6/24/2025
/ Conflicts of Interest ,
Cybersecurity ,
Deregulation ,
Digital Assets ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
FinCEN ,
Investment Adviser ,
Proposed Rules ,
Regulatory Reform ,
Securities and Exchange Commission (SEC)
This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers....more
6/4/2024
/ Compliance ,
Electronic Communications ,
Enforcement Actions ,
FinCEN ,
Insider Trading ,
Instant Messaging Apps ,
Investment Adviser ,
Marketing ,
Material Nonpublic Information ,
Registered Investment Advisors ,
Regulation S-P ,
Risk Alert ,
Say-on-Pay ,
Securities and Exchange Commission (SEC) ,
Text Messages