Hedge Clauses Under the SEC Microscope, Again
SEC scrutinizing the use of hedge (liability limiting) clauses in retail advisory agreements with clients.
February 17, 2026
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SEC Under New Leadership: Changing Priorities and Continued Adviser Scrutiny
This article explores key developments and considerations for advisers navigating the evolving landscape in the SEC’s Division of Enforcement program since the arrival of SEC Chairman Paul Atkins in April 2025.
January 07, 2026
Same Diligence, Different Emphasis | The Outlook for SEC Exams and Enforcement
With so much in flux in Washington, many investment advisers are wondering: Will the SEC exam and enforcement environment be changing under the new administration?
May 15, 2025
Takeaways from SEC Compliance Outreach Program
Detailed takeaways from the SEC’s 2024 Compliance Outreach Program for investment advisers and investment companies.
November 11, 2024
Lessons from the SEC Win in the “Shadow” Insider Trading Case
In spite of claims from SEC officials that its recent win in the Panuwat case was “nothing novel,” the victory represents a sweeping change in the scope of insider trading liability.
August 22, 2024
Reversing Chevron Deference: An IAA Webinar Recap
An IAA webinar discussed the implications of overturning Chevron and other recent Supreme Court rulings for the investment adviser industry.
July 26, 2024
Bad Facts Create Good Law on Negligence Standard for Investment Advisers
Recent court decision SEC v. Rashid clarifies the negligence standard applicable to the anti-fraud provisions of the Advisers Act.
July 18, 2024
How to Get Cooperation Credit in an SEC Enforcement Case
SEC Division of Enforcement Director discusses five principles of effective cooperation in SEC investigations.
June 05, 2024