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
Tags: AML, Compliance, FinCEN, Treasury Department
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
Tags: AML, Artificial Intelligence , Compliance, Compliance Testing Survey, Cybersecurity
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
Tags: Compliance, Mutual Funds, Private Funds
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
Tags: Compliance
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
CCO Liability: Enforcement Director Speech & Update
This article discusses the issue of CCO liability.
December 08, 2023
Tags: CCO, Compliance, SEC Enforcement
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 Marketing Rule Continues to Dominate Investment Advisers’ Compliance Concerns, Survey Reveals
Cybersecurity and electronic communications follow closely behind Washington, DC (July 13, 2023) – For the third year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the...
July 13, 2023
SEC Compliance Outreach Program Scheduled for November 15
The SEC has scheduled a Compliance Outreach Program for advisers and funds on November 15, 2022.
September 22, 2022
Tags: Compliance, ESG, Fiduciary, Form CRS, Marketing Rule, Mutual Funds, Private Funds, SEC Examinations
Regulatory Game Changers on the Horizon
The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.
May 31, 2022
Tags: CCO, Compliance, Private Funds, SEC Enforcement, SEC Examinations