SEC Loses in ALJ Case, DOL’s Latest Fiduciary Rule Put on Hold, and SEC Reconsiders AI and Custody Rule Proposals - Welcome to our July Regulatory Roundup, where we provide a quick look at the latest regulatory developments....more
7/31/2024
/ Administrative Authority ,
Administrative Law Judge (ALJ) ,
Administrative Proceedings ,
Civil Monetary Penalty ,
Compliance ,
Cybersecurity ,
Department of Labor (DOL) ,
Enforcement Actions ,
Financial Markets ,
Financial Services Industry ,
Individual Retirement Account (IRA) ,
Investment Adviser ,
Popular ,
Preliminary Injunctions ,
Prohibited Transactions ,
Regulatory Authority ,
Regulatory Oversight ,
Risk Management ,
SCOTUS ,
SEC v Jarkesy ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Seventh Amendment
SEC DROPS NEW REQUIREMENT FOR INCIDENT RESPONSE PROGRAMS, PROPOSAL FOR RIAS TO ADOPT CIP, SEC EXAMS SHARES MARKETING RULE FAILURES, RIA SLAMMED FOR FAILING TO RETAIN TEXTS, AND SEC WINS ON SHADOW TRADING THEORY - Welcome to...more
5/30/2024
/ Compliance ,
Cybersecurity ,
Data Breach ,
Electronic Communications ,
Financial Institutions ,
FinCEN ,
Incident Response Plans ,
Insider Trading ,
Investment Adviser ,
Marketing ,
New Regulations ,
Policies and Procedures ,
Private Funds ,
Regulation S-P ,
Regulatory Oversight ,
Risk Alert ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Many chief compliance officers struggle every year with preparing the annual review required under Advisers Act Rule 206(4)-7. To help you out, here’s our guide to writing your annual report....more
4/30/2024
/ Annual Reports ,
Chief Compliance Officers ,
Compliance ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Firms ,
Policies and Procedures ,
Portfolio Managers ,
Regulatory Oversight ,
Risk Management ,
Securities and Exchange Commission (SEC)
Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is updating the firm's compliance policies...more
4/29/2024
/ Annual Reports ,
Asset Management ,
Beneficial Owner ,
Compliance ,
Corporate Transparency Act ,
Deadlines ,
Disclosure Requirements ,
Fund Managers ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Firms ,
New Rules ,
Private Equity Funds ,
Private Funds ,
Regulatory Standards ,
Reporting Requirements ,
Risk Alert ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
There are times when it makes sense to hire an expert. Securities regulations are complicated, and failure to comply can be costly, both in terms of fines and damage to reputation. Here are the top reasons registered...more