Video | OCIE Supervision Initiative Finds Holes in RIA Supervision & Disclosure Policies
Podcast: Private Fund Regulatory Update – Network and Cloud Storage
Podcast: Keeping Up with Recent Changes and Trends in Private Fund Regulation
On December 16, 2025, the U.S. Securities and Exchange Commission Division of Examinations issued a new Risk Alert providing guidance to registered investment advisers (“RIAs” or “advisers”), investors, and other market...more
The Securities and Exchange Commission’s Division of Examinations (the “Division”) issued a Risk Alert titled “Additional Observations Regarding Advisers’ Compliance with the Advisers Act Marketing Rule.”...more
On December 16, 2025, the staff (“Staff”) of SEC’s Division of Examinations issued a Risk Alert to address its observations regarding investment advisers’ (“advisers”) compliance with the testimonials and endorsement...more
On December 16, the Securities and Exchange Commission (SEC) published a risk alert on the adviser marketing rule. This is the first risk alert published by the SEC in over a year....more
Failures by a number of investment advisers to comply with certain rules governing principal and agency cross trades has prompted the compliance inspections staff of the Securities and Exchange Commission (SEC) to issue a...more