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
Marketing Rule Toppled by Off-Channel Communications for Top Compliance Concern
Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published today.
July 17, 2024
Tags: Climate, Compliance Testing Survey, Conflicts of Interest, Cybersecurity, Fees and Expenses, Marketing Rule, Off-Channel Communications, Private Funds, Recordkeeping, Research
Updated SEC Agenda Includes Significant Reproposals
Federal agencies issue Spring Reg Flex rulemaking agendas, including reproposals of several SEC rules.
July 11, 2024
Tags: AML, CFTC, Custody, Cybersecurity, DOL, ESG, Proxy Voting, Regulatory Agendas, SEC Investment Management
New Customer Identification Program (CIP) Proposal for Investment Advisers – What You Need to Know
The Financial Crimes Enforcement Network (FinCEN) and SEC recently released a joint proposal outlining potential Customer Identification Program (CIP) regulations for investment advisers.
May 14, 2024
Tags: AML, SEC, Treasury Department
SEC Issues Marketing Rule Risk Alert
The Risk Alert discusses the SEC staff’s observations from examinations of investment advisers for compliance with the Marketing Rule.
April 19, 2024
Tags: Form ADV, Examinations, Marketing, Recordkeeping
IAA Comments on AML Proposal for Investment Advisers
The IAA has recommended changes to the Treasury Department’s proposed AML rule for investment advisers.
April 15, 2024
Tags: AML, Treasury Department
New AML Proposal for Investment Advisers – What You Need to Know
The Treasury Department recently released a proposal outlining potential anti-money laundering (AML) regulations for investment advisers.
February 14, 2024
Tags: AML, Treasury Department
House Ways and Means Committee Overwhelmingly Advances Bipartisan Tax Package
The House Ways and Means Committee advanced the Tax Relief for American Families and Workers Act but full House and Senate support are uncertain.
January 26, 2024
Tags: House Ways and Means, Taxes
SEC Continues Ambitious Agenda, AML Proposal for Advisers Likely
Federal agencies have issued their Fall Reg Flex rulemaking agendas, reflecting a continuation of ambitious agendas.
December 08, 2023
Tags: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management
The SEC’s Small Business Capital Formation Advisory Committee met to discuss the definition of “accredited Investor” and diversity in the investment process.
December 01, 2023
Tags: Accredited Investor, Diversity