The March 31 deadline for the annual Form ADV updating amendment has finally passed for advisers with a December 31 fiscal year end. Filing the amendment is only step one. April is the month to turn attention to what comes...more
4/10/2026
/ Corporate Governance ,
Filing Requirements ,
Form 13F ,
Form 13H ,
Form ADV ,
Form CRS ,
Investment Advisers Act of 1940 ,
Recordkeeping Requirements ,
Registered Investment Advisors ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)
Per the SEC’s 2026 examination priorities, regulators are placing a greater focus on registered investment advisers’ (“RIA”) compliance policies and procedures, making it essential for RIAs to maintain clear, well-documented...more
4/3/2026
/ Artificial Intelligence ,
Cybersecurity ,
Data Privacy ,
Data Security ,
Incident Response Plans ,
Policies and Procedures ,
Registered Investment Advisors ,
Regulation S-P ,
Regulatory Requirements ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
In November 2025, the Trump administration’s Department of Labor withdrew its defense of the Biden-era 2024 Fiduciary Rule (formally, the Retirement Security Rule). ...more
The U.S. Securities and Exchange Commission (the “SEC”) Division of Examinations (the “Division”) released its 2026 examination priorities, giving financial institutions, including investment advisers, guidance on what to...more
11/21/2025
/ Algorithms ,
Artificial Intelligence ,
Cybersecurity ,
Data Security ,
Financial Institutions ,
Incident Response Plans ,
Investment Adviser ,
Registered Investment Advisors ,
Regulation S-ID ,
Regulation S-P ,
Regulatory Requirements ,
Required Forms ,
Risk Management ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
The RIA Compliance and Legal Strategies Conference is back at our offices in Hamilton, NJ. The Conference is an essential event for RIAs and IARs to gain a valuable understanding of current regulatory and compliance-related...more
11/6/2025
/ Acquisitions ,
Artificial Intelligence ,
Bitcoin ,
Client Communication ,
Client Data ,
Compliance ,
Continuing Legal Education ,
Custody Rule ,
Data Security ,
Due Diligence ,
Electronic Communications ,
Events ,
Executors ,
Exploitation ,
Financial Abuse ,
Form ADV ,
Investment Adviser ,
Mergers ,
Policies and Procedures ,
Power of Attorney ,
Registered Investment Advisors ,
Regulatory Requirements ,
Restrictive Covenants ,
Social Media Policy ,
Text Messages ,
Third-Party ,
Vendors
In May 2024, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Regulation S-P, requiring registered investment advisers (RIAs) to adopt written incident response program policies and procedures. ...more
11/3/2025
/ Amended Regulation ,
Cybersecurity ,
Data Breach ,
Data Security ,
Incident Response Plans ,
Notification Requirements ,
Policies and Procedures ,
Registered Investment Advisors ,
Regulation S-P ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Third-Party Service Provider
The use of artificial intelligence (“AI”) notetakers, while beneficial for productivity, raises significant concerns around privacy, security, and compliance. These risks are at the center of Brewer v. Otter.ai, a lawsuit...more
8/29/2025
/ Artificial Intelligence ,
Audio Recording ,
Consent ,
Cybersecurity ,
Data Privacy ,
Due Diligence ,
Fiduciary Duty ,
Machine Learning ,
Prior Express Consent ,
Recordkeeping Requirements ,
Registered Investment Advisors ,
Risk Management ,
Video Recordings ,
Videoconference
Investment Advisers: Elevate your expertise!
Join our exclusive April webinars and earn 1 CFP or IAR CE credit per course....more
Investment Advisers: Elevate your expertise!
Join our exclusive April webinars and earn 1 CFP or IAR CE credit per course....more
The SEC approved eleven spot Bitcoin ETFs on January 10, 2024. As a result, investment advisers may be curious about whether or how to integrate Bitcoin ETFs into client portfolios. This blog is intended to provide an update...more
1/16/2024
/ Bitcoin ,
Compliance ,
Disclosure Requirements ,
ETFs ,
Fees ,
Fiduciary Duty ,
Form ADV ,
Investment Adviser ,
Investment Management ,
Securities and Exchange Commission (SEC) ,
Transparency
Investment adviser representative continuing education requirements are critically important. Please read this alert carefully, as investment adviser representative registration may be at risk if you do not follow the...more
With recent developments in the regulatory, legal, and compliance landscape surrounding Bitcoin and a spot Bitcoin ETF (i.e., an ETF backed by physical Bitcoins. If the value of the digital coins backing the ETF rises, the...more
The RIA Compliance and Legal Strategies Conference is an essential event for registered investment advisors to gain a valuable understanding of current regulatory and compliance-related issues. Attendees will earn 5 CE...more
2/28/2023
/ Acquisitions ,
Arbitration ,
Audits ,
Compliance ,
Confidentiality Agreements ,
Continuing Legal Education ,
Cybersecurity ,
Department of Labor (DOL) ,
Disclosure Requirements ,
Events ,
Hiring & Firing ,
Information Security ,
Litigation Strategies ,
Mergers ,
Registered Investment Advisors ,
Restrictive Covenants ,
Risk Management ,
Subpoenas ,
Texting