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
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AI, Predictive Analytics Identified as Top Compliance Concern Among Advisers
Artificial Intelligence and predictive analytics have ranked as the leading priority among compliance officers, according to the 2025 Investment Management Compliance Testing Survey.
July 22, 2025
Webinar Recap: Access to Private Markets for Retail Investors
Hear the latest developments from our recent webinar about individual investors accessing private markets, including through registered and private funds.
June 09, 2025
Investment advisers must comply with the Treasury’s Outbound Investment Rule, which could necessitate changes in the investment strategies and governance of (i) funds advised by U.S. investment advisers and (ii) offshore funds with U.S. person investors.
June 09, 2025
SEC Announces National Compliance Outreach Seminar
The SEC is planning a virtual national compliance outreach seminar for investment advisers and investment companies on November 7.
October 03, 2024
CCO Liability: Enforcement Director Speech & Update
This article discusses the issue of CCO liability.
December 08, 2023
SEC Marketing Rule Continues to be Top Compliance Concern, Survey Shows
For the third year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one focus for investment adviser chief compliance officers, according to the 2023 Investment Management Compliance Testing Survey.
July 14, 2023
SEC Compliance Outreach Program Scheduled for November 15
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September 22, 2022