Family offices are increasingly turning to private secondary market transactions to gain exposure to sought-after companies in technology, artificial intelligence, fintech, and other alternative investment sectors. These...more
1/22/2026
/ Compliance ,
Due Diligence ,
Enforceability ,
Enforcement Actions ,
Family Offices ,
Fraud ,
Investment Funds ,
Investor Protection ,
Investors ,
Non-Disclosure Agreement ,
Private Company Shares ,
Private Equity ,
Private Funds ,
Regulatory Oversight ,
Risk Management ,
Secondary Markets ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Special Purpose Vehicles ,
Unregistered Securities
If you work at or with an investment adviser, the SEC’s 2026 examination priorities are critical because they shape what examiners will scrutinize when assessing whether firms are acting in clients’ best interests, keeping...more
1/20/2026
/ Artificial Intelligence ,
Compliance ,
Cybersecurity ,
Data Privacy ,
Disclosure Requirements ,
Fiduciary Duty ,
Incident Response Plans ,
Investment Adviser ,
Regulatory Oversight ,
Regulatory Requirements ,
Retail Investors ,
Risk Management ,
Securities and Exchange Commission (SEC)