News Archives

Federal Court Suspends Beneficial Ownership Reporting Obligations Under the Corporate Transparency Act

A federal court in Texas recently issued a preliminary injunction prohibiting the government from collecting beneficial ownership information reports under the Corporate Transparency Act.

December 06, 2024

Tags: BOIR, CTA, Treasury Department

Problematic SEC Dealer Rule Vacated

The SEC’s problematic rule has been fully vacated by a Texas district court.

November 22, 2024

Tags: Trading

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

Tags: AML, Artificial Intelligence , Cybersecurity, Digital Assets, Fiduciary, Marketing Rule, Private Funds, Trading

SEC Publishes 2025 Examination Priorities

SEC’s 2025 examination priorities include fiduciary duty, effectiveness of compliance programs, cybersecurity, and artificial intelligence.

October 21, 2024

Tags: Artificial Intelligence , Cybersecurity, Fiduciary, Private Funds, SEC Examinations

IAA Calls on Agencies to Study FIGI, CUSIP Before Selecting Common Identifier

The IAA is urging agencies to withdraw a joint proposal to make FIGI the common financial instrument identifier and repropose it after further study.

October 22, 2024

Tags: CUSIP, FIGI

As Online Imposter Scams Grow, SEC and Firms Warn Investors to Heed Red Flags

The IAA will hold a member call on how firms can help mitigate the risk from imposter scams.

October 07, 2024

Tags: Imposter, Investor Alert, WhatsApp

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

Tags: Compliance, SEC Examinations

SEC Committee Focuses on Fiduciary

The SEC’s Investor Advisory Committee discussed fiduciary standards under SEC rules, ERISA, and state laws.

September 20, 2024

Tags: Fiduciary, IAC

Treasury Issues Final AML Rule for Investment Advisers

The Treasury Department has finalized its proposed AML rule for investment advisers.

August 28, 2024

Industry Insights: 2024 Industry Snapshot Now Available

The 2024 Investment Adviser Industry Snapshot is here! In this edition: a record high number of SEC registered investment advisers; continued growth in the number of asset management clients and total clients; assets under management rebounded to match the record high set in 2021; and much more.

June 21, 2024

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