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
Privacy and Cybersecurity: How Advisers Must Protect Their Clients’ Most Valuable Asset
Investment advisers must keep up with evolving federal, state, and cross-border regulatory obligations with respect to client data, privacy, and cybersecurity.
October 18, 2024
What Investment Advisers Need to Know About the SEC’s Changes to Schedules 13D and 13G
The SEC’s changes to Schedules 13D and 13G require quicker filings.
September 30, 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
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
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