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
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
AI in Wealthtech: Navigating the Next Era of Wealth Management
The investment advisory industry is facing a turning point in the evolution of wealthtech, a segment of the fintech industry leveraging disruptive technologies such as artificial intelligence to provide cutting-edge investment services and novel investment programs.
July 24, 2025
Firms consider the use of hedge clauses in advisory agreements, which are commonly used contractual provisions limiting an adviser’s liability to its clients.
February 20, 2025
AML Compliance Ahead: Navigating the Upcoming FinCEN Requirements
Advisers should prepare for a new AML rule under FinCEN regulations.
February 06, 2025
Off-Channel Communications: Confronting Compliance Challenges
This article outlines the compliance challenges associated with off-channel communications and discusses key considerations for complying with recordkeeping, supervisory and other compliance obligations.
May 09, 2024
Compliance Considerations for Investment Advisers Using ESG Strategies in the US and EU
This article discusses challenges global advisers face in keeping up to date with to ESG-related regulations in the U.S. and EU and in modifying their ESG-related policies and procedures in response.
April 15, 2024
Say-On-Pay Proxy Voting Reporting Requirements for Form 13F Filers
This article discusses the new requirements for institutional managers to file Form N-PX to report say-on-pay proxy votes beginning in 2024.
July 20, 2023
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