The SEC Issues New Marketing Rule Risk Alert Sharing Exam Observations
A December 16, 2025, Risk Alert discusses the SEC staff’s observations from examinations of investment advisers for compliance with the Marketing Rule, focusing on testimonials, endorsements, and third-party ratings.
December 17, 2025
2025 IAA Compliance Workshop Takeaways
Takeaways from 2025 IAA Compliance Workshops and thank you to speakers.
December 15, 2025
SEC Publishes 2026 Examination Priorities
The SEC’s Division of Examinations announced its fiscal year 2026 examination priorities. The high-level focus remains consistent with last year’s priorities across three themes: adherence to fiduciary duty, compliance program effectiveness, and oversight of newly registered or never examined advisers.
November 18, 2025
IAA Tracker: Trump Administration Update — 9 Months In
Updated IAA tracker, regulatory developments for Trump Administration – nine months in.
October 31, 2025
Revolutionizing Alternatives: Navigating Fund Structures for Retail Investors
This article explores key Investment Company Act fund structures that enable retail access to alternative investments, highlighting their features, compliance obligations, and strategic alignment for fund managers navigating this evolving landscape.
October 22, 2025
On September 22, 2025, FinCEN published a proposed rule to amend the Investment Adviser AML Rule to delay its effective date by two years.
September 29, 2025
SEC Holds First Compliance Outreach Event for Regulation S-P
The SEC held a webinar on recent amendments to Regulation S-P that addressed the new requirements and potential areas of focus for examinations.
September 29, 2025
SEC Announces Compliance Outreach Events for Regulation S-P
The SEC has announced Compliance Outreach events on Regulation S-P, with the first scheduled for September 25 for large firms. The compliance date for large firms in December 3.
September 18, 2025
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